Entrepreneur Code of the Republic of Kazakhstan

The Code of the Republic of Kazakhstan dated October 29, 2015 No. 375-V LRK.

Unofficial translation

Footnote. Throughout the text, the words “repatriates”, “repatriates”, “repatriate”, and “Repatriates”have been replaced by the words “compatriots”, “compatriots”, and “Compatriots”, respectively, in accordance with the Law of the Republic of Kazakhstan dated 13.05.2020 No. 327-VI (shall be enforced after the date of entry into force of the relevant amendments and additions to the Code of the Republic of Kazakhstan "On Taxes and Other Obligatory Payments to the Budget" (Tax Code)).
Footnote. The table of contents is excluded by Law of the RK No. 48-VII of 08.06.2021 (shall be enacted on 01.01.2022).

This Code defines the legal, economic and social conditions and guarantees that ensure the free enterprise in the Republic of Kazakhstan, regulates social relations arising from the interaction of business entities and the state, including government regulation and support for entrepreneurship.

SECTION 1. GENERAL PROVISIONS Chapter 1. LEGAL PRINCIPLES OF INTERACTION BETWEEN
BUSINESS ENTITIES AND STATE

Article 1. Legislation of the Republic of Kazakhstan on entrepreneurship

1. The legislation of the Republic of Kazakhstan on entrepreneurship is based on the Constitution of the Republic of Kazakhstan and consists of this Code and other regulatory legal acts of the Republic of Kazakhstan.

2. Commodity-money and other property relations based on equality of participants, as well as personal non-property relations connected with property, are regulated by the civil legislation of the Republic of Kazakhstan.

2-1. The provisions of this Code shall not apply to relations related to the return of illegally acquired assets, including the creation and activities of a management company, in accordance with the legislation of the Republic of Kazakhstan on the return of illegally acquired assets to the state.

3. If an international treaty ratified by the Republic of Kazakhstan establishes rules other than those provided for by this Code, then the rules of the international treaty shall apply.

4. In the event of gaps or inconsistencies found between the laws of the Republic of Kazakhstan on entrepreneurship contained in the regulatory legal acts of the Republic of Kazakhstan, the provisions of this Code shall apply to the provisions of this Code.

5. Features of certain types of entrepreneurship are established by the laws of the Republic of Kazakhstan.

Footnote. Article 1 as amended by the Law of the Republic of Kazakhstan dated 12.07.2023 No.23-VIII (shall be enforced ten calendar days after the date of its first official publication.

Article 2. The concept of entrepreneurship and the limits of its legal regulation

1. Entrepreneurship is an independent, initiative activities of citizens, oralmans and legal entities aimed at obtaining net income through the use of property, production, sale of goods, performance of work, provision of services, based on the right of private property (private entrepreneurship) or on the right of economic management or operational management of a state enterprise (state entrepreneurship). Entrepreneurial activities are carried out on behalf of, for risk of, and under the property responsibility of an entrepreneur.

2. Entrepreneurial activities may be limited exclusively by the laws of the Republic of Kazakhstan.

3. Sstate bodies are prohibited to adopt regulatory legal acts establishing the privileged position of individual entrepreneurs.

Article 3. Objectives and principles of interaction between business entities and the state

1. The interaction of business entities and the state is aimed at creation of favorable conditions for development of entrepreneurship and society, encouragement of entrepreneurial initiatives in the Republic of Kazakhstan.

2. The principles of interaction between business entities and the state are:

1) legality;

2) freedom of entrepreneurship;

3) equality of entrepreneurs;

4) inviolability of property;

5) fair competition;

6) balance of consumer, business entities and the state interests;

7) transparency of the activities of state bodies and the availability of information;

8) effectiveness of state regulation of entrepreneurship;

9) improvement of the ability of business entities to independently protect their rights and legitimate interests;

10) priority of the prevention of wrong;

11) presumption of good faith of business entities and mutual responsibility of the state and business entities;

12) freedom from corruption;

13) promotion of entrepreneurship, ensuring of its protection and support;

14) support of domestic manufacturers of goods, works, services;

15) inadmissibility of unlawful state interference in the affairs of entrepreneurs;

16) participation of private entrepreneurship in lawmaking;

17) promotion of social responsibility of entrepreneurship;

18) limited participation of the state in entrepreneurial activities;

Subparagraph 19) is put into effect after the enactment of the legislative act on self-regulation in accordance with the Code of the Republic of Kazakhstan dated 29.10.2015 No. 375-V.

19) self-regulation.

Footnote. Article 3 as amended by the Law of the Republic of Kazakhstan dated 12.03.2021 No. 15-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 4. Legality

1. Entrepreneurs in the course of their entrepreneurial activities, state bodies and officials of state bodies in the process of state regulation of entrepreneurship are obliged to comply with the requirements of the Constitution of the Republic of Kazakhstan, this Code and other regulatory legal acts of the Republic of Kazakhstan.

2. Acts and decisions of state bodies contradicting the Constitution of the Republic of Kazakhstan shall be recognized as illegal and invalid from the moment of their adoption and shall be subject to cancellation.

Acts and decisions of state bodies not complying with the regulatory legal acts of the Republic of Kazakhstan in terms of content, design and (or) procedures for their adoption shall be recognized as illegal and invalid and shall be subject to cancellation in the manner established by the laws of the Republic of Kazakhstan, except for cases when the right to trust is protected by the laws of the Republic of Kazakhstan.

Footnote. Article 4 as amended by the Law of the Republic of Kazakhstan dated 29. 06. 2020 No. 351-VI (shall be enforced from 01. 01. 2021).

Article 5. Free enterprise

1. Everyone has the right to freedom of entrepreneurial activities, free use of own property for any legitimate entrepreneurial activities.

2. Business entities may carry out any types of entrepreneurial activities not prohibited by the laws of the Republic of Kazakhstan.

Article 6. Equality of entrepreneurs

1. Business entities are equal before the law and the court, regardless of their form of ownership or any other circumstances.

2. Business entities have equal opportunities in the implementation of entrepreneurial activities.

Article 7. Inviolability of property

1. Inviolability of the property of business entities is guaranteed by law.

2. Business entities may own any legally acquired property.

3. Business entities may not be deprived of their property, except as decided by the court. The compulsory alienation of property for state needs in exceptional cases provided for by law may be made on condition of equivalent compensation.

Article 8. Fair competition

1. Activities aimed at restricting or eliminating competition, infringement of the rights and legitimate interests of consumers, and unfair competition are prohibited.

Monopolistic activities are regulated and restricted by law.

2. Antimonopoly regulation is aimed at protection of competition, creation of conditions for the effective functioning of commodity markets, ensuring of the economic space unity, free movement of goods and freedom of economic activities in the Republic of Kazakhstan.

Article 9. Balance of interests of consumers, business entities and the state

1. Forms and means of state regulation of entrepreneurship are introduced in order to ensure adequate level of security of activities or actions (operations), the most effective protection of consumer rights with the minimum reasonably required load on entrepreneurs.

In public regulation, new requirements on private business entities may only be imposed if the benefits to consumers, to the state, prevail over the costs of public regulation.

2. In the course of state regulation, the state bodies are not may to require from business entities the submission of documents and (or) additional information not provided for by the regulatory legal acts of the Republic of Kazakhstan.

3. Qualification and licensing requirements shall ensure the minimum necessary set of resources, standards and indicators sufficient for business entities to ensure the required level of safety of the activities, operations or security of the facility.

Footnote. Article 9 as amended by Law of the RK No. 95-VII of 30.12.2021 (shall come into force ten calendar days after the date of its first official publication).

Article 10. Transparency of government activities and availability of information

1. The activities of state bodies shall be public and open within the limits established by the laws of the Republic of Kazakhstan.

2. State bodies are obliged to ensure the transparency of their decision-making activities affecting the interests of entrepreneurs.

3. Information held by government agencies and necessary for business entities shall be available if its use is not restricted by the laws of the Republic of Kazakhstan. Such information is provided for free of charge, with the exception of cases established by the laws of the Republic of Kazakhstan.

3-1. Private business entities may have a stamp with their name.

Government agencies and financial institutions are prohibited from requesting stamp on documents from legal entities belonging to private entrepreneurs.

4. All procedures and requirements related to the state regulation of entrepreneurship shall contain a clear sense excluding the divergent interpretation.

5. The provisions of this article, establishing the obligations of state bodies, shall apply to the authorized organization in the field of civil aviation.

Footnote. Article 10 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 249-VI dated 04.19.2019 (shall be enforced since 01.08.2019).

Article 11. Efficiency of business regulation by the state

The efficiency of business public regulation shall be achieved through:

1) compliance with the conditions for the formation of regulatory instruments set out in this Code, as well as the implementation of mandatory procedures for justification, approval and monitoring of public regulation;

2) increasing the state's confidence in business entities;

3) consistency and coherence of public regulation, based on the introduction of project management in the formation of regulatory policy, continuity and consideration of previous decisions of public regulation of business activities;

4) introducing personal liability for government officials for causing damage to business entities;

5) avoiding the creation of barriers for business entities as a result of the introduction of new requirements.

Footnote. Article 11 as reworded by Law of the RK No. 95-VII of 30.12.2021 (shall enter into force ten calendar days after the date of its first official publication).

Article 12. Improvement of the business entities ability to independently protect their rights and legitimate interests

1. Business entities may deny the inspection by officials of state control and supervision bodies in cases of their failure to comply with the requirements to inspections established by this Code.

2. In order to protect their rights and legitimate interests in the course of state control and supervision, business entities may involve third parties in the inspection.

Article 13. Priority of prevention of wrong

1. Prevention of offenses and motivation of business entities to comply with the requirements established by the laws of the Republic of Kazakhstan, have priority over the use of measures of state coercion in the process of entrepreneurial activities.

2. Measures of state coercion for an offense committed by an entrepreneur shall fir to its nature and gravity.

Article 14. Presumption of good faith of business entities and mutual responsibility of the state and business entities

Footnote. The heading of Article 14 is in the wording of the Law of the Republic of Kazakhstan dated 12.03.2021 No. 15-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

1. By issue of a permit, the state confirms that the licensee, the permit holder, provides the second category of minimum safety level in accordance with the objectives of state regulation.

2. In the process of state regulation of entrepreneurship, there shall be no obstacles to the implementation of the legitimate activities of business entities by state bodies and their officials.

3. In the process of state regulation of entrepreneurship, when business entities perform their duties or exercise the rights granted to them by the law, it shall be assumed that their actions are in good faith.

A business entity shall also be considered to be in good faith if, in the exercise of rights, legitimate interests and (or) performance of duties, it was guided by an official explanation of the state body given within its competence, enshrined in accordance with the legislation of the Republic of Kazakhstan, including if such an explanation was subsequently withdrawn, recognized as erroneous or a new explanation, different in meaning, was given in relation to the same regulatory legal act, the content of which has not changed.

Losses caused to a business entity as a result of issuance of an act of the state body not complying with the legislation of the Republic of Kazakhstan, as well as by actions (inaction) of officials of these bodies, shall be subject to compensation in the manner prescribed by the civil legislation of the Republic of Kazakhstan.

4. Violation of the legislation of the Republic of Kazakhstan, committed by a business entity, must be described in the course of conducting inspections. Substantiation of arguments and disclosure of circumstances indicating the fact of violation of the legislation of the Republic of Kazakhstan shall be assigned to state bodies.

The factual data presented by business entities on the circumstances investigated by the state body shall be considered reliable until the court or state body establishes the opposite in accordance with the legislation of the Republic of Kazakhstan.

All uncertainties of the legislation of the Republic of Kazakhstan shall be interpreted in favour of a business entity. 5. It is prohibited to use the rights provided for by this Code and other regulatory legal acts in contradiction with their goal with the aim of infringing the rights and legitimate interests of other business entities or evading the performance of existing obligations or legal responsibility for actually committed offenses.

6. The provisions of this article, establishing the obligations of state bodies, shall apply to the authorized organization in the field of civil aviation.

Footnote. Article 14 as amended by Law of the Republic of Kazakhstan No. 249-VI dated 19.04.2019 (shall be enforced since 01.08.2019); dated 12.03.2021 No. 15-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 15. Freedom from corruption

1. When introducing and implementing state regulation of entrepreneurship, the facts of conflict of interests and selective application of law shall be excluded.

2. In order to limit the contacts of business entities with state bodies in the process of state regulation of entrepreneurship, regulations shall include the application of the "single window” principle, in which all necessary approvals from government bodies shall be obtained by state bodies themselves in the form of interagency cooperation.

3. The abuse of official powers by persons authorized to perform state functions and persons equated to them, exercising business regulation, in order to accept property benefits and advantages shall not be allowed.

Article 16. Stimulation of entrepreneurial activities and ensuring its protection and support

1. In order to stimulate the development of entrepreneurs, the state takes a series of measures aimed at creating favorable legal, economic, social conditions and guarantees for the implementation of entrepreneurial initiatives.

2. Stimulation of entrepreneurial activities are carried out, including through ensuring the protection and support of entrepreneurship.

Article 17. Support for domestic manufacturers of goods, works, services

1. Government agencies and other organizations are taking measures to create an enabling environment to stimulate the development of domestic production of goods, works, and services.

2. In developing and examining draft regulatory legal acts, concluding international treaties of the Republic of Kazakhstan and participating in the decision-making of international organizations in order to increase the competitiveness of domestic goods, works, services, the national interests of the Republic of Kazakhstan are taken into account.

Article 18. Inadmissibility of unlawful state interference in the affairs of entrepreneurs

Unlawful interference by the state in the affairs of entrepreneurs, their associations, as well as the aforementioned associations in the affairs of the state and the assignment of functions of state bodies to them are not allowed.

Article 19. Participation of private business entities in lawmaking

Private business entities participate in the development and examination of draft regulatory legal acts, draft international treaties of the Republic of Kazakhstan, as well as international treaties, the Republic of Kazakhstan intends to become a party to, affecting the interests of entrepreneurs, through the National Chamber of business entities of the Republic of Kazakhstan and expert council on private entrepreneurship (further-expert council).

Footnote. Article 19 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 20. Stimulation of social responsibility of entrepreneurship and the development of social entrepreneurship

Footnote. The heading of Article 20 as amended by the Law of the Republic of Kazakhstan dated 24. 06. 2021 No. 52-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

The state guarantees and encourages the introduction by business entities of social responsibility in their business activities.

Social entrepreneurship development initiatives are supported by state bodies, national holdings, national development institutions and other organizations in accordance with the procedure determined by the authorized body for entrepreneurship.

Footnote. Article 20 as amended by the Law of the Republic of Kazakhstan dated 24. 06. 2021 No. 52-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 21. Limited state participation in entrepreneurial activities

1. The state participates in entrepreneurial activities within the limits limited by this Code and the laws of the Republic of Kazakhstan.

2. In order to develop private entrepreneurship and competition, the state is taking measures aimed at reducing the state's share in entrepreneurial activities by limiting the creation of state legal entities in the sphere of entrepreneurship, legal entities with state participation in the authorized capital.

Article 22 is enacted after the enactment of the law on self-regulation in accordance with the Code of the Republic of Kazakhstan dated 29.10.2015 No. 375-V.

Article 22. Self-regulation

The state shall create conditions for the development of self-regulation in entrepreneurial and professional activities by reducing the scope of public regulation based on the minimum need for it, as well as other incentives determined by the legislation of the Republic of Kazakhstan.

Footnote. Article 22 as amended by Law of the RK No. 95-VII of 30.12.2021 (shall be put into effect ten calendar days after the date of its first official publication).

Chapter 2. BUSINESS ENTITIES AND CONDITIONS FOR THEIR
FUNCTIONING
Paragraph 1. General provisions on entrepreneurs

Article 23. Entrepreneurs

1. Business entities are citizens, oralmans and non-state commercial legal entities engaged in entrepreneurial activities (private entrepreneurs), state enterprises (state entrepreneurs).

2. An individual, who is an entrepreneur, shall be registered as an individual entrepreneur in the manner provided for by this Code.

3. A legal entity that is an entrepreneur may be created in the organizational and legal form provided for by the Civil Code of the Republic of Kazakhstan.

Article 24. Categories of entrepreneurs

1. Depending on the average annual number of employees and the average annual income, business entities are divided into the following categories:

small-sized business entities, including micro-business entities;

medium-sized business entities;

large-sized business entities.

2. The assignment of business entities to the categories specified in paragraph 1 of this article is used for the following goals:

state statistics;

provision of state support;

application of other norms of the legislation of the Republic of Kazakhstan.

For state statistics, only the average annual number of employees is used.

For the goal of providing state support and applying other norms of the legislation of the Republic of Kazakhstan, two criteria are used: the average annual number of employees and the average annual income.

For the purposes of providing state support and applying other norms of the legislation of the Republic of Kazakhstan, the average annual number of employees of business entities using the labour of employees of the sending party in accordance with the contract on rendering services for the provision of personnel shall be determined taking into account the employees of the sending party.

The average annual number of employees of business entities is determined taking into account all employees, including employees of branches, representative offices and other separate divisions of this subject, as well as the individual entrepreneur.

The average annual income shall be the sum of total annual income or income of business entities applying a special tax regime based on a patent, a simplified declaration or using a special mobile application, for the last three years, divided by three in accordance with the tax legislation of the Republic of Kazakhstan.

State support programs for private business entities may provide for other criteria.

3. small-sized business entities are individual business entities without formation of a legal entity and legal entities engaged in entrepreneurship, with an average annual number of employees of no more than one hundred people and an average annual income of no more than three hundred thousand times a monthly calculated indicator established by the law on the republican budget and in effect on January 1 of the corresponding financial year.

Micro business entities are small-sized business entities engaged in private entrepreneurship, with an average annual number of employees of no more than fifteen people or an average annual income of no more than thirty thousand times a monthly calculated indicator established by the law on the republican budget and valid on January 1 of the corresponding financial year.

4. For the goals of state support and the application of other norms of the legislation of the Republic of Kazakhstan, small-sized business entities, including micro-business entities, may not be recognized as individual business entities and legal entities carrying out:

1) activities related to the traffic of narcotic drugs, psychotropic substances and precursors;

2) production and (or) wholesale of excisable products;

3) grain storage operations at grain gaining stations;

4) holding of lotteries

5) activities in gambling;

6) activities related to the traffic of radioactive materials;

7) banking (or certain types of banking operations) and activities in the insurance market (except for the activities of an insurance agent);

8) auditing activities;

9) professional activities in the securities market;

10) activities of credit bureaus;

11) security activities;

12) activities related to the circulation of civilian and service weapons and their ammunition;

13) digital mining activity of the I subtype.

Individual business entities and legal entities carrying out the activities specified in this paragraph refer to medium-sized business entities, and in case of meeting the criteria established by clause 6 of this article, to large-sized business entities.

For private entrepreneurs, in accordance with the tax legislation of the Republic of Kazakhstan, who are payers of gambling business tax, a fixed tax and a single land tax, the criterion on the number of employees is used.

5. The medium-sized business entities are individual business entities and legal entities engaged in business, not related to small- and large-sized business entities in accordance with paragraphs 3 and 6 of this article.

6. The large-sized business entitites are individual business entities and legal entities that carry out business and meet one or two of the following criteria: the average annual number of employees is more than two hundred fifty people and (or) the average annual income over a three-million times a monthly calculated indicator, established by the law on the republican budget and applicable as of January 1 of the relevant financial year.

Footnote. Article 24 as amended by the Law of the Republic of Kazakhstan dated 19. 12. 2020 No. 386-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 24. 06. 2021 No. 52-VII (shall be enforced from 01.01.2022); dated 06.02.2023 No. 194-VII (shall be enforced from 01.04.2023).

Article 25. Register of entrepreneurs

1. In order to use data on the categories of entrepreneurs, the authorized business agency keeps a register of entrepreneurs.

2. The register of business entities is an electronic database containing information on the categories of entrepreneurs.

3. Information on the category of business entities is provided for in the form of an electronic certificate to interested parties, including government agencies, for use in their work.

4. Excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).
Footnote. Article 25 as amended by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 25-1. Register of business partners

1. The National Chamber of Entrepreneurs of the Republic of Kazakhstan shall create and maintain a register of business partners for the provision of business entities and other persons with information about the reliability and good faith of business partners,

2. The register of business partners shall be an information system integrated with the objects of informatization of state bodies and organizations, containing information about business entities that do not constitute a secret protected by laws.

Collection, processing and protection of personal data of business entities contained in the register of business partners shall be carried out in accordance with the legislation of the Republic of Kazakhstan on personal data and their protection.

3. State bodies and organizations shall ensure the integration of informatization objects with the register of business partners.

The procedure for integrating the objects of informatization of state bodies and organizations with the register of business partners is determined by the legislation of the Republic of Kazakhstan on informatization.

4. Excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).
Footnote. The Law is supplemented by Article 25-1 in accordance with the Law of the Republic of Kazakhstan dated 02.01.2021 No. 399-VI (shall be enforced from 01.07.2021); as amended by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 26. Rights of entrepreneurs

1. Private business entities are may to:

1) carry out any types of entrepreneurial activities, to have freedom of access to the markets for goods, works and services, unless otherwise provided for by the laws of the Republic of Kazakhstan;

2) carry out entrepreneurship using hired labor in accordance with the laws of the Republic of Kazakhstan;

3) create branches and representative offices in the manner prescribed by the laws of the Republic of Kazakhstan;

4) independently set prices for manufactured goods, works, services, with the exception of cases established by this Code and the laws of the Republic of Kazakhstan;

5) independently monitor the quality of goods, works and services;

6) carry out foreign economic activities within their legal capacity;

7) establish associations of business entities and participate in them;

8) participate in the work of expert councils through accredited associations of private entrepreneurship entities, the National Chamber of business entities of the Republic of Kazakhstan;

9) apply to law enforcement and other government agencies on matters of bringing to justice those who violated the rights and (or) prevented the realization of the legitimate interests of entrepreneurs;

10) apply to the court, arbitration, the Commissioner for the protection of the rights of business entities of Kazakhstan and other bodies to protect their rights and legitimate interests;

11) settle the dispute through conciliation procedures;

12) submit for consideration to the authorized body on entrepreneurship proposals on the elimination of the causes and conditions conducive to the non-execution or inadequate execution of regulatory legal acts on the support and protection of entrepreneurship;

13) participate in the implementation of projects in the social, economic and environmental fields as measures of the social responsibility of entrepreneurship;

14) exercise other rights not limited by the laws of the Republic of Kazakhstan.

2. State enterprises shall exercise the rights provided for by this Code, with due regard to their specifics established by the laws of the Republic of Kazakhstan.

Article 27. Obligations of entrepreneurs

Business entities are obliged to:

1) comply with the legislation of the Republic of Kazakhstan, the rights and legitimate interests of individuals and legal entities;

2) ensure the safety and quality of goods, works, services in accordance with the requirements of the legislation of the Republic of Kazakhstan;

3) provide consumers with goods, works, services complete and accurate information about goods, works, services;

3-1) ensure the use of a current bank account intended for business activities when accepting non-cash payments into a bank account for the sale of goods, performance of work or rendering of services;

4) obtain permits or send notifications to start an activities or action (operation) in accordance with the Law of the Republic of Kazakhstan “On Permits and Notifications”;

5) carry out compulsory insurance of civil liability in cases stipulated by the laws of the Republic of Kazakhstan;

6) preserve nature and to treat natural resources with care;

7) increase the efficiency of use of natural and energy resources and their management in the process of carrying out activities;

8) perform other obligations provided for by this Code and other laws of the Republic of Kazakhstan.

Footnote. Article 27 as amended by Law of the RK No. 100 of 31.12.2021 (shall be enacted on 01.03.2022).

Article 28. Protection of information constituting a trade secret

1. Protection of a trade secret consists in prohibiting the unlawful receipt, dissemination or use of information constituting a trade secret in accordance with this Code and the legislation of the Republic of Kazakhstan.

2. A entrepreneur shall determine the circle of persons who have the right of free access to information constituting a trade secret, and shall take measures to protect its confidentiality.

3. The procedure for classifying information as access categories, conditions for storing and using information constituting a trade secret, are determined by the entrepreneur.

4. Measures taken by an entrepreneur to protect information constituting a trade secret may include:

1) determining the list of information constituting a trade secret;

2) restricting access to trade secrets by establishing a procedure for handling this information and monitoring compliance with such a procedure;

3) records of persons who have obtained access to a trade secret, and (or) persons to whom this information has been provided for or transmitted.

5. Persons who illegally obtained, disclosed and (or) used information constituting a trade secret are obliged to compensate for the damage caused in accordance with the civil legislation of the Republic of Kazakhstan.

6. An entrepreneur or a person authorized by it has the right to demand from its employees a non-disclosure subscription of information constituting a trade secret, and those who carry out its verification shall be warned of liability in accordance with the laws of the Republic of Kazakhstan.

7. The list of information subject to mandatory publication or mandatory notification to the shareholders of the joint stock company, participants of the economic partnership, members of the production cooperative or other specified circle of persons is established by the laws of the Republic of Kazakhstan and the constituent documents of the entrepreneur.

8. Information constituting a trade secret may not be disclosed without the consent of the entrepreneur, with the exception of information on which there is a valid court decision, or other cases established by this Code.

9. State bodies and their officials without the consent of the entrepreneur shall not have the right to distribute and (or) use information that is known to them due to the fulfillment of official (official) obligations, which is a trade secret, except as required by the laws of the Republic of Kazakhstan.

10. An entrepreneur has the right not to provide public authorities and officials in the performance of registration, control and supervisory functions and other actions access to information constituting a trade secret, other than that necessary for the implementation of their functions.

10-1. An entrepreneur that owns, on the right of ownership or other legal basis, a critically important object of information and communication infrastructure, transfers a backup copy of an electronic information resource to a single backup platform for storing electronic information resources in the manner specified by the legislation of the Republic of Kazakhstan, subject to the requirements of the legislation of the Republic of Kazakhstan on national security.

10-2. The subject of the quasi-public sector transmits to the operator of the information and communication infrastructure of the "electronic government" the depersonalized data necessary for data analytics in order for the state bodies to carry out activities in accordance with the data management requirements approved by the authorized data management body.

11. State bodies and their officials bear the responsibility established by the laws of the Republic of Kazakhstan for the illegal distribution and (or) use of information constituting a trade secret, and the damage caused to an entrepreneur as a result of such distribution and (or) use is subject to compensation in accordance with civil the legislation of the Republic of Kazakhstan.

12. Generalized information that does not disclose information about the activities of a particular entrepreneur is publicly available.

13. Publicly available information of the entrepreneur includes:

1) last name, first name and patronymic (if it is indicated in the identity document) or the name of the individual entrepreneur;

2) name and date of registration of the legal entity;

3) identification number;

4) legal address (location);

5) kind of activities;

6) surname, name, patronymic (if it is indicated in the identity document) of the manager;

7) information on public procurement and procurement by quasi-public sector entities, except for entities within the National Bank of Kazakhstan and legal entities, fifty percent or more of voting shares (stakes in the charter capital) wherein belong to the National Bank of Kazakhstan or are in its trust management, including details on plans, announcements, participants, outcomes, contracts entered into, performance of contractual obligations and payments, as well as information on local content, excluding details constituting state secrets in keeping with the legislation of Kazakhstan on state secrets and (or) containing official information of limited distribution as determined by the Government of the Republic of Kazakhstan.

Footnote. Article 28 as amended by the Law of the Republic of Kazakhstan dated 28.12.2017 No. 128-VI (shall be enforced upon expiry of ten calendar days after its first official publication); dated 25.06. 2020 No. 347-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 72-VII of 15.11.2021 (shall take effect on 01.01.2022); dated 14.07.2022 No. 141-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 29. Primary statistical and administrative data

1. Primary statistical data is submitted by business entities in accordance with the legislation of the Republic of Kazakhstan in state statistics.

The use of primary statistical data by state bodies and the National Bank of the Republic of Kazakhstan in relation to an entrepreneur, including in the exercise of their control and supervisory functions, is not allowed.

2. Forms designed for the collection of administrative data, as well as methods for calculating indicators, shall be coordinated with the authorized body in state statistics in the manner established by the legislation of the Republic of Kazakhstan.

Paragraph 2. Individual entrepreneurs

Article 30. The concept and types of individual entrepreneurship

1. Individual entrepreneurship is an independent, initiative activities of citizens of the Republic of Kazakhstan, oralmans, aimed at obtaining net income, based on the property of individuals themselves and carried out on behalf of individuals, for their risk and under their property liability.

Other individuals are prohibited from individual entrepreneurship.

2. Individual entrepreneurship is carried out in the form of personal or joint entrepreneurship.

Article 31. Personal entrepreneurship

1. Personal entrepreneurship is carried out by one individual independently on the basis of property belonging to him by right of ownership, as well as by virtue of another right allowing use and (or) disposal of property.

2. For the implementation of personal entrepreneurship by an individual married, the consent of the spouse is not required.

3. In cases when an individual uses the common property of spouses to carry out personal entrepreneurship, a notarized consent of the other spouse is required for such use, unless otherwise provided for by law or the marriage contract or other agreement between the spouses.

4. Personal entrepreneurship can be carried out using the form of a farm.

Article 32. Joint entrepreneurship

1. Joint entrepreneurship is carried out by a group of individuals (individual entrepreneurs) on the basis of property belonging to them on the basis of common property, as well as by virtue of another right allowing for joint use and (or) disposal of property.

2. In a joint entrepreneurship, all transactions related to private entrepreneurship are made, and rights and obligations are acquired and carried out on behalf of all participants in the joint entrepreneurship.

3. Forms of joint entrepreneurship are as follows:

1) spouse entrepreneurship, carried out on the basis of the common joint property of the spouses;

2) family entrepreneurship, carried out on the basis of common joint ownership of a peasant farm or common joint ownership of privatized housing;

3) simple partnership in which private entrepreneurship is carried out on the basis of common shared ownership;

4) other forms in accordance with the laws of the Republic of Kazakhstan.

4. When spouses do business in the business turnover on behalf of the spouses, one of the spouses acts with the consent of the other spouse, which can be confirmed during the registration of an individual entrepreneur or expressed in writing and notarized in cases where the activities of the individual entrepreneur is carried out without state registration.

If one of the spouses does not give his/her cinsent for the performance of the other spouse in the business turnover on their behalf, it is assumed that the spouse acting in the business circulation performs individual entrepreneurship in the form of personal entrepreneurship.

5. Individual entrepreneurship using the simple partnership form is carried out in accordance with the civil legislation of the Republic of Kazakhstan.

Article 33. Implementation of the activities of individual entrepreneurs under their own names

1. The individual entrepreneur is engaged in entrepreneurial activities, acquires and exercises rights and obligations under his/her own name.

2. If the citizen is an oralman, he/she, when making transactions related to his entrepreneurship activities, shall indicate that he/she acts as an individual entrepreneur.

3. The absence of such indication does not relieve the individual entrepreneur from the risk and responsibility that the individual entrepreneur bears in his obligations.

4. In carrying out his/her activities, an individual entrepreneur has the right to use personal forms of business documentation, stamps, seal, the texts of which must clearly indicate that this person is an individual entrepreneur.

Article 34. Social protection of an individual entrepreneur

An individual entrepreneur has the right to use the system of social and pension provision, social insurance in accordance with the legislation of the Republic of Kazakhstan on social protection.

Footnote. Article 34 as amended by the Law of the Republic of Kazakhstan dated 20.04.2023 No. 226-VII (shall be enforced from 01.07.2023).

Article 35. State registration of individual entrepreneurs

1. The state registration of individuals engaged in private entrepreneurship without forming a legal entity consists in registration as an individual entrepreneur in the state revenue body at the location declared during state registration as an individual entrepreneur.

2. Individuals are subject to obligatory state registration as an individual entrepreneur if they meet one of the following conditions:

1) use the work of employees on a permanent basis;

2) they gain annual income from private entrepreneurship calculated in accordance with the tax legislation of the Republic of Kazakhstan in the amount exceeding the 12-times minimum wage established by the law on the republican budget and valid as of January 1 of the corresponding financial year.

3. An individual who does not use employees on a permanent basis may work without registration as an individual entrepreneur in the cases of gaining the following incomes established by the Code of the Republic of Kazakhstan "On taxes and other obligatory payments to the budget" (Tax Code):

1) income subject to taxation at the source of payment;

2) property income;

3) income from sources outside the Republic of Kazakhstan;

4) incomes of domestic workers in accordance with the labor legislation of the Republic of Kazakhstan, gaining income from persons other than tax agents;

5) incomes of citizens of the Republic of Kazakhstan under labor contracts (contracts) and (or) contracts of a civil law nature, concluded with representative offices of a foreign state and consular institutions of a foreign state accredited in the Republic of Kazakhstan other than tax agents;

6) incomes of citizens of the Republic of Kazakhstan under labor agreements (contracts) and (or) civil law contracts concluded with international and state organizations, foreign and Kazakhstan non-governmental public organizations and foundations exempted from the obligation to calculate, withhold and transfer individual income tax at the source of payment in accordance with international treaties ratified by the Republic of Kazakhstan;

7) incomes of resident labor immigrants received (to be received) under employment contracts concluded in accordance with the labor legislation of the Republic of Kazakhstan on the basis of a permit issued to a labor immigrant;

8) income of mediators, with the exception of professional mediators in accordance with the Law of the Republic of Kazakhstan "On Mediation", received from persons other than tax agents;

9) income from a private subsidiary farm, recorded in the household account book in accordance with the legislation of the Republic of Kazakhstan, subject to taxation, for which personal income tax was not withheld at the source of payment due to false information submitted by the individual subsidiary farm to the tax agent.

For the goals of applying this clause, the tax agent is a person defined by the tax legislation of the Republic of Kazakhstan.

4. It was valid until 01.01.2024 in accordance with the Law of the Republic of Kazakhstan dated 26.12.2018 No. 203-VI.
Footnote. Article 35 as amended by the Law of the Republic of Kazakhstan dated 25.12.2017 No. 122-VI (shall be enforced from 01.01.2018); as amended by the Law of the Republic of Kazakhstan No. 203-VI dated 26.12.2018 (for the procedure of entry into force, see Article 2.

Article 36. The procedure for state registration of individual entrepreneurs

1. For state registration as an individual entrepreneur (joint individual entrepreneurship), an individual (an authorized person of joint individual entrepreneurship) submits a notification through the state information system of permits and notifications or through other informatization objects in the form approved by the authorized body in the field of permits and notifications.

In case of registration of joint individual entrepreneurship, an authorized representative of joint individual entrepreneurship provides a power of attorney signed on behalf of all participants of the joint entrepreneurship.

If the applicant has not reached the age of majority, the consent of the legal representatives is attached to the notice, and in the absence of such consent, a copy of the marriage certificate (marriage) or the decision of the guardianship or custody or court decision declaring the minor fully capable.

Reclamation of other documents is prohibited.

2. Persons included in the list of organizations and persons associated with financing the proliferation of weapons of mass destruction, and (or) in the list of organizations and persons associated with financing terrorism and extremism shall not be entitled to submit a notification in accordance with the legislation of the Republic of Kazakhstan.

3. The state revenue body shall, within one working day from the date on which the individual submits the documents specified in paragraph 1 of this article, except for the cases when notifications are submitted by the persons specified in paragraph 2 of this article, shall register the individual entrepreneur (joint individual entrepreneurship).

4. When the information specified in the notification is amended, the individual entrepreneur (an authorized representative of the joint individual entrepreneurship) is obliged to report such amendments to the state revenue authority in the form established by this authority.

5. The notification is submitted in electronic form via the web portal of the "electronic government" or other informatization objects.

Footnote. Article 36 as amended by the Law of the Republic of Kazakhstan dated 29.03.2016 No. 479-V (shall be enforced from 01.01.2017); as amended by the Law of the Republic of Kazakhstan dated 25.12.2017 No. 122-VI (shall be enforced from 01.01.2018); dated 13.05.2020 No. 325-VІ (shall be enforced upon expiry of six months after the date of its first official publication); dated 14.07.2022 No. 141-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 37. Certificate of state registration of an individual entrepreneur

Footnote. Article 37 is excluded by the Law of the Republic of Kazakhstan dated 29.03.2016 No. 479-V (shall be enforced from 01.01.2017).

Article 38. Termination of the activities of an individual entrepreneur

1. The activities of an individual entrepreneur may be terminated voluntarily or by force, as well as in the event of the occurrence of the circumstances provided for by this Code.

On a voluntary basis, the activities of an individual entrepreneur is terminated at any time on the basis of a decision taken independently by an individual entrepreneur in personal entrepreneurship, by all participants jointly in joint entrepreneurship. In this case, the individual entrepreneur submits to the state revenue authority a statement on the termination of entrepreneurial activities.

For voluntary termination of activities, an individual entrepreneur shall submit to the state revenue authority a statement on the termination of entrepreneurial activities.

The decision to terminate the joint entrepreneurship is considered adopted if at least half of its participants voted for it, unless otherwise provided for by agreement between them.

2. By compulsory procedure, the activities of an individual entrepreneur is terminated by a court decision in the following cases:

1) is excluded by Law of the Republic of Kazakhstan No. 290-VI dated December 27, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication);

2) recognition of the registration of an individual entrepreneur as invalid in connection with the violations of the legislation of the Republic of Kazakhstan admitted during registration, which are intractable in nature;

3) carrying out activities with repeated violations of the legislation of the Republic of Kazakhstan during a calendar year or gross violations;

4) declaring him/her dead;

5) including it in the list of organizations and persons associated with financing the proliferation of weapons of mass destruction, and (or) in the list of organizations and persons associated with financing terrorism and extremism, in accordance with the legislation of the Republic of Kazakhstan;

6) recognition of his/her missing;

7) established by the Code of the Republic of Kazakhstan "On taxes and other obligatory payments to the budget" (Tax Code), providing for the termination of activities under compulsion.

3. The activities of the individual entrepreneur, in addition to the grounds provided for in this article, is also terminated in the following cases:

1) personal entrepreneurship in the recognition of an individual entrepreneur as incapable, partially capable, or his/her death;

2) family entrepreneurship and simple partnership, if as a result of the occurrence of the circumstances listed in subparagraph 1) of this paragraph, there is only one or no participant in the joint entrepreneurship, as well as in the division of property in connection with the dissolution of the marriage;

3) established by the tax legislation of the Republic of Kazakhstan, providing for the termination of activities in a simplified manner;

4) the entry into legal force of a court ruling on the completion of the bankruptcy procedure in relation to an individual entrepreneur declared bankrupt by a court decision.

4. The activities of an individual entrepreneur is deemed to be terminated from the moment of his removal from the register as an individual entrepreneur in the state revenue body on the basis of his application or decision of the court that entered into legal force, as well as in the cases established by paragraph 3 of this article.

An individual entrepreneur is deemed to be de-registered as an individual entrepreneur in the registering authority from the date of posting this information on the Internet resource of the authorized body that manages the provision of tax revenues and other mandatory payments to the budget.

5. When carrying out individual entrepreneurship without registration in established cases, it shall be considered terminated from the date of its actual termination on a voluntary basis or, respectively, from the date the court decision comes into force - under compulsory procedure.

6. For small business entities that do not have unfulfilled obligations and are classified by state bodies as entities with low and medium risk, the laws of the Republic of Kazakhstan establish a simplified procedure for reorganization and voluntary liquidation.

Footnote. Article 38 as amended by the Law of the Republic of Kazakhstan dated 25.12.2017 No. 122-VI (shall be enforced from 01.01.2018); No. 290-VI dated December 27, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); dated 13.05.2020 No. 325-VІ (shall be enforced upon expiry of six months after the date of its first official publication); dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 39. Bankruptcy of an individual entrepreneur

The bankruptcy procedure of an individual entrepreneur is carried out in the manner prescribed by the legislation of the Republic of Kazakhstan on rehabilitation and bankruptcy.

Article 40. Recovery of debts of individual business entities on their property

1. Individual business entities shall be liable for their obligations with all their property, with the exception of property for which a penalty cannot be levied in accordance with the laws of the Republic of Kazakhstan.

2. When carrying out personal entrepreneurship, an individual shall be liable with all his/her property, including shares in the common property of spouses, with the exception of property for which recovery cannot be turned in accordance with the laws of the Republic of Kazakhstan.

Article 41. Definition and forms of farm

1. A farm is a labor association of persons in which the implementation of individual entrepreneurship is inextricably linked with the use of agricultural land for the production of agricultural products, as well as the processing and marketing of these products.

2. A farm may have the form of:

1) peasant economy, in which business activities are carried out in the form of family entrepreneurship, based on the basis of common joint ownership;

2) a farm based on the implementation of personal entrepreneurship;

3) a farm organized in the form of a simple partnership on the basis of common share ownership on the basis of a joint activities agreement.

Article 42. Head and members of a farm

1. The head of a farm can be a capable citizen of the Republic of Kazakhstan, an oralman who has reached eighteen years of age.

2. The members of a farm are spouses, close relatives (parents (parent), children, adoptive parents (adopters), adopted children, full and half siblings, grandparents, grandmothers, grandchildren) and others who jointly keep the household.

Article 43. Rights and obligations of the head and members of the farm

1. The head of a farm has the right to:

1) represent the interests of the farm in relations with individuals and legal entities;

2) carry out civil law transactions not prohibited by the laws of the Republic of Kazakhstan;

3) authorize any of the members of the farm to perform their functions in the event of a long absence;

4) determine the main activities of the farm;

5) approve internal rules, procedures for their adoption and other documents regulating the internal activities of a farm;

6) submit for consideration by the general meeting of members of a farm enterprise the question of the participation of a farm enterprise in the creation and activities of legal entities;

7) exercise other rights provided for by this Code and the laws of the Republic of Kazakhstan.

2. The head of a farm is obliged:

1) to organize the maintenance of records and statements of farm enterprises;

2) to implement, within its competence, decisions of the general meeting of members of a farm economy that do not contradict the legislation of the Republic of Kazakhstan;

3) to create working conditions for members of the farm;

4) when accepting employees, conclude labor contracts, issue acts of the employer in accordance with the labor legislation of the Republic of Kazakhstan;

5) to perform other obligations provided for by this Code and the laws of the Republic of Kazakhstan.

3. Members of a peasant or farm have the right to:

1) voluntarily withdraw from a farm in the manner determined by the general meeting of members of the farm;

2) receive information on the activities of a farm enterprise, including familiarizing themselves with the accounting data, financial statements and other documentation of this farm;

3) appeal to the general meeting of members of a farm and (or) to state bodies with complaints of unlawful actions (inaction) of the head and other members;

4) appeal in court the decisions of the head and the general meeting of members of a farm in case of violation of their rights and legitimate interests;

5) exercise other rights stipulated by this Code and the laws of the Republic of Kazakhstan.

4. Members of a farm are obliged:

1) to implement the decisions of the general meeting of members of a farm;

2) to comply with the requirements of the internal documents of the farm;

3) in the event of a change of the head of a farm, by a general statement, notify the authorities that registered the farm;

4) to perform other obligations provided for by this Code and the laws of the Republic of Kazakhstan.

Article 44. Peculiarities of the creation of a farm

1. A farm is created on a voluntary basis and is considered to be created from the moment of state registration of the right to a land plot, and in cases established by the laws of the Republic of Kazakhstan, after being registered as an individual entrepreneur.

2. Excluded by the Law of the Republic of Kazakhstan dated 25.12.2017 No. 122-VI (shall be enforced from 01.01.2018).
Footnote. Article 44 as amended by the Law of the Republic of Kazakhstan dated 25.12.2017 No. 122-VI (shall be enforced from 01.01.2018).

Article 45. Farm as a form of economic activities

1. A farm enterprise is an equal production unit of agriculture in the Republic of Kazakhstan.

2. A farm independently determines the area of its activities, the structure and volume of production, grows, processes and sells its products, as well as solves other issues related to the management of the farm.

3. In carrying out its activities, a farm has the right to:

1) open bank accounts and manage its money;

2) receive loans secured by property, land and land use rights in the manner and on the terms established by the legislation of the Republic of Kazakhstan;

3) insure rented and own production facilities, as well as crops (plantings) of agricultural crops, perennial plantings, manufactured products, raw materials, materials in case of death or damage in accordance with the legislation of the Republic of Kazakhstan on insurance and insurance activities;

4) on a voluntary basis, to unite in cooperatives, societies and other associations, participate in the activities of cooperative, economic partnerships and other organizations, as well as at their own discretion, withdraw from any organization.

Article 46. Property of a farm

1. The property of a farm is owned by its members by the right of joint ownership, unless otherwise established by an agreement between them.

The property of the farm, organized in the form of a simple partnership on the basis of a joint venture agreement, belongs to its members by right of joint ownership.

The property of the farm, based on personal entrepreneurship, belongs to him on the right of private property.

2. Members of a peasant or a private farm may own land plots, plantings on a land plot, including plantings of a private forest fund, wild animals bred and kept in captivity and (or) semi-free conditions, plant genetic resources, household outbuildings and other buildings, reclamation and other structures, productive and working cattle, poultry, agricultural and other machinery and equipment, vehicles, inventory and other property, transferred by members of a peasant or a private farm and (or) acquired for the farm with the common funds of its members.

3. Fruits, products and income derived from activities of a farm are common joint or common share property of members of a farm and are used by agreement between them.

4. Property relations of members of a farm are governed by the relevant rules of civil and land legislation of the Republic of Kazakhstan.

5. Property and the right to a land plot of a farm are inherited in the manner prescribed by the laws of the Republic of Kazakhstan.

Footnote. Article 46 as amended by the Law of the Republic of Kazakhstan dated 02.01.2023 No. 184-VII (shall be enforced sixty calendar days after the date of its first official publication).

Article 47. The provision of land for the farm management

The conditions, procedure for the provision and use of land for the farm management are established by the Land Code of the Republic of Kazakhstan.

Article 48. Conditions of activities of a farm

1. The farm covers its expenses with the income received.

2. Production, commercial and other relations of a farm are carried out on a contractual basis.

3. Citizens working under an employment contract and (or) a contract on rendering services for the provision of personnel may be involved in the performance of work in a peasant or farm enterprise.

4. The procedure for concluding an employment contract in a peasant or farm enterprise, as well as a contract on rendering services for the provision of personnel shall be determined by the labor and civil legislation of the Republic of Kazakhstan.

5. Members of a peasant or farm enterprise and citizens working in the enterprise under an employment contract, as well as under the contract on rendering services for the provision of personnel shall enjoy all the rights provided for by the laws of the Republic of Kazakhstan.

6. Peasant and private farms have the right to use the system of social and pension provision, social insurance in accordance with the legislation of the Republic of Kazakhstan on social protection.

Footnote. Article 48 as amended by the Law of the Republic of Kazakhstan dated 19. 12. 2020 No. 386-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 20.04.2023 No. 226-VII (shall be enforced from 01.07.2023).

Article 49. Termination of the activities of a farm

1. The activities of a farm is terminated if there is not a single member of the farm, a heir or another person willing to continue the farm’s activities, as well as in cases of bankruptcy and termination of the right to private ownership of a land plot or land use rights.

2. When ceasing the activities of a farm, the division of joint estate between the participants of joint ownership, as well as the separation of the share of one of them may be carried out, provided for that the share of each participant in the right to the common property is determined in advance.

3. Property in joint ownership may be divided between its participants by agreement between them.

4. The conditions and procedure for the division of property, land and land use rights in case of termination of the activities of a farm are governed by the civil legislation of the Republic of Kazakhstan.

Paragraph 3. Entrepreneurship of legal entities

Article 50. Entrepreneurship of non-state legal entities

1. Entrepreneurship of non-state legal entities may be carried out by creating commercial legal entities pursuing the extraction of income as the main goal of their activities.

2. The organizational and legal forms of non-state commercial legal entities can only be a business partnership, a joint-stock company and a production cooperative.

3. A non-profit organization may engage in entrepreneurial activities only insofar as it corresponds to its statutory goals.

Article 51. Entrepreneurship of state enterprises

1. In order to solve social and economic problems determined by the needs of society and the state, the state creates state enterprises based on the following rights of:

1) economic management;

2) operational management (state-owned enterprises).

2. A state enterprise on the right of economic management is a commercial organization endowed with state property on the right of economic management and liable for its obligations with all property belonging to it.

3. The state-owned enterprise is a commercial organization endowed with state property on the right of operational management.

Article 52. State registration of legal entities related to entrepreneurs, and accounting registration of their branches and representative offices

1. Legal entities established on the territory of the Republic of Kazakhstan and related to business entities are subject to state registration, regardless of the goal of their creation, the nature and nature of their activities, and the composition of participants (members).

2. Branches and representative offices of legal entities that are business entities located in the territory of the Republic of Kazakhstan shall be subject to registration without acquiring the rights of a legal entity.

3. State registration of legal entities related to business entities, and record registration of their branches and representative offices shall be provided by the State Corporation "Government for Citizens" (registering authority), with the exception of cases provided by the legislative acts of the Republic of Kazakhstan.

4. State registration (re-registration) of business entities - legal entities is carried out in accordance with the legislation of the Republic of Kazakhstan on state registration of legal entities and accounting registration of branches and representative offices.

Footnote. Article 52 as amended by the Law of the Republic of Kazakhstan No. 241-VI dated 02.04.2019 (shall be enforced from 01.07.2019).

Article 53. Reorganization and liquidation of a legal entity that is an entrepreneur

1. Reorganization and liquidation of a legal entity that is an entrepreneur is carried out in accordance with the Civil Code of the Republic of Kazakhstan, taking into account the features established by this Code and the laws of the Republic of Kazakhstan.

2. An entrepreneur shall be declared bankrupt by a court decision on the basis of the application of the debtor or creditor to the court, and in cases provided for by the laws of the Republic of Kazakhstan, and other persons.

3. The procedure for the rehabilitation and bankruptcy of a legal entity is carried out in the manner prescribed by the legislation of the Republic of Kazakhstan on rehabilitation and bankruptcy.

Chapter 3. ASSOCIATION OF BUSINESS ENTITIES AND CONDITIONS OF THEIR FUNCTIONING

Article 54. Associations of entrepreneurs

1. An association of business entities is an association (union) created by business entities in order to coordinate their entrepreneurial activities, as well as to represent and protect the common interests of entrepreneurs.

2. Financing of associations of business entities is provided for by voluntary membership fees of business entities and other sources not prohibited by the laws of the Republic of Kazakhstan.

Article 55. Basics of the activities of associations of entrepreneurs

The activities of entrepreneurial associations are based on:

1) equality of all entrepreneurs;

2) prevention decisions that do not correspond to the main directions of domestic and foreign policy of the state;

3) independence, which does not allow the restriction of lawfully carried out activities of associations of entrepreneurs;

4) transparency of activities, accountability, responsibility to its members;

5) efficiency, consistency and rapidness in decision making and its implementation.

Article 56. National chamber of entrepreneurs of the Republic of Kazakhstan, its goals and objectives

1. The National Chamber of entrepreneurs of the Republic of Kazakhstan (hereinafter - the National Chamber) is a non-profit organization, which is a union of business entities established to ensure favorable legal, economic and social conditions for the implementation of entrepreneurial initiatives and the development of mutually beneficial partnership between the business community and government bodies of the Republic of Kazakhstan, as well as encouragment and support for the activities of associations of individual business entities and (or) legal entities in the form of an association (union) (hereinafter - the association (union).

2. The goal of the creation of the National Chamber is to form an institutional framework for the growth and further development of entrepreneurship in the Republic of Kazakhstan.

3. The National Chamber goals are the following:

1) consolidation of the business community;

2) representation, maintenance and protection of the rights and legitimate interests of entrepreneurs;

3) the organization of effective interaction between business entities and their associations (unions) with government bodies;

4) assistance to the creation of favorable legal, economic and social conditions for the implementation of entrepreneurial initiatives in the Republic of Kazakhstan;

5) participation in the process of improving the legislation of the Republic of Kazakhstan, affecting the interests of entrepreneurship;

6) other objectives stipulated by the laws of the Republic of Kazakhstan.

Article 57. The National Chamber frame

1. To be recognized by the National Chamber as conforming with the established criteria for representing the interests of business entities in the governing bodies and working bodies of the National Chamber the associations (unions) shall be accredited.

2. The system of the National Chamber includes:

1) at the republican level:

National Chamber;

republican inter-sectoral, industry associations (unions) accredited to the National Chamber, as well as republican associations (unions) of small, medium and (or) large-sized business entities;

2) at the territorial level:

chambers of business entities of oblasts, cities of republican status and the capital (hereinafter - regional chambers);

regional inter-sectoral, regional sectoral associations (unions) accredited in regional chambers, as well as regional associations (unions) of small, medium and (or) large-sized business entities;

accredited in regional chambers regional, cities of regional, republican status and the capital of the association (unions);

regional associations accredited in regional chambers, cities of regional status associations (unions);

3) at the city and district levels:

branches of regional chambers in the regions of the respective oblasts, cities of oblast, cities of republican status and the capital, as well as in the towns of oblast and regional status;

4) legal entities with the participation of the National Chamber as a founder, established to implement the objectives of the Law of the Republic of Kazakhstan "On the National Chamber of business entities of the Republic of Kazakhstan";

5) branches and representative offices of the National Chamber located in a foreign country;

6) Commissioner for protection of the rights of business entities of Kazakhstan.

Article 58. Principles of activities of the National Chamber

1. The activities of the National Chamber are based on the principles of:

1) independence;

2) equality of all entrepreneurs;

3) making decisions that do not contradict the main directions of domestic and foreign policy of the state;

4) transparency of activities, accountability, responsibility to its members;

5) efficiency, consistency and rapidness in decision making and its implementation;

6) the development of intersectoral, sectoral and regional associations (unions);

7) social responsibility of entrepreneurship;

8) contributing to ensuring the safety of goods, works and services for human life and health and the environment produced by manufacturers of goods, works and services;

9) ensuring a balance of interests of society and entrepreneurship.

Paragraph 2 is put into effect after the enactment of the law on self-regulation in accordance with the Code of the Republic of Kazakhstan dated 29.10.2015 No. 375-V.

2. The National Chamber is formed according to the principle of compulsory membership of business entities registered in it (record registration) in accordance with the legislation of the Republic of Kazakhstan, with the exception of business entities for which the legislation of the Republic of Kazakhstan establishes mandatory membership in other non-profit organizations, as well as state enterprises, unless otherwise specified by this clause.

The business entities that are members (participants) of self-regulating organizations in the business sphere based on mandatory membership are subject to the principle of mandatory membership of business entities in the National Chamber.

Article 59. Members of the National Chamber

1. The members of the National Chamber are the entrepreneurs, unless otherwise established by this Code and the Law of the Republic of Kazakhstan "On the National Chamber of business entities of the Republic of Kazakhstan".

2. Members of the National Chamber may:

1) enjoy professional support and protection from the National Chamber, as well as the services provided for by its charter;

2) elect and be elected to its governing bodies;

3) apply to the National Chamber with written inquiries and receive motivated answers within the limits of the powers granted to the National Chamber, make suggestions for improving the organization of its activities;

4) participate in the management of the National Chamber in the manner prescribed by the Law of the Republic of Kazakhstan "On the National Chamber of business entities of the Republic of Kazakhstan" and the charter of the National Chamber;

5) undergo training, retraining and advanced training organized by the National Chamber;

6) receive qualified information and analytical support, including the services of independent experts of various profiles;

7) hear reports on the activities of the National Chamber in the manner prescribed by its charter;

8) enjoy other rights provided for by the laws of the Republic of Kazakhstan.

3. Members of the National Chamber are required to pay mandatory membership fees.

4. Members of the National Chamber are equal in their rights.

5. The National Chamber shall not have the right to interfere in the activities of entrepreneurs, to violate their rights and legitimate interests.

6. Settlement of disputes is carried out in the manner prescribed by the legislation of the Republic of Kazakhstan.

Article 60. Competence of the National Chamber

The National Chamber performs the functions stipulated by this Code, the Law of the Republic of Kazakhstan "On the National Chamber of busineof the Republic of Kazakhstan" and other laws of the Republic of Kazakhstan.

Article 61. Interaction with the Government of the Republic of Kazakhstan, government bodies

1. The maximum amounts of mandatory membership fees are determined by the authorized body for entrepreneurship.

2. The interaction of the Government of the Republic of Kazakhstan and the National Chamber is aimed at achieving the goal of its creation and objectives.

3. The interaction of the National Chamber with the Government of the Republic of Kazakhstan and government bodies is carried out in the manner prescribed by this Code and other regulatory legal acts, in the form of:

1) participation of the National Chamber in the development and examination of draft regulatory acts affecting the interests of private entrepreneurs;

2) participation of the National Chamber in the development and examination of international treaties to which the Republic of Kazakhstan intends to become a party, as well as draft international treaties of the Republic of Kazakhstan affecting the interests of private entrepreneurs;

3) creation by the National Chamber of consultative and advisory bodies with the participation of central and local government bodies;

4) participation of the National Chamber in the work of the consultative and advisory bodies under the central and local government bodies established on matters affecting the rights and obligations of entrepreneurs;

5) forms aimed at the realization of the goal of creation, objectives and functions of the National Chamber.

4. State bodies are obliged, in accordance with the procedure provided for by the legislation of the Republic of Kazakhstan, to provide, at the request of the National Chamber, information affecting the rights and obligations of entrepreneurs of the Republic of Kazakhstan, with the exception of information constituting commercial, banking and other secrets protected by law.

Footnote. Article 61 as amended by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).
Article 62 is put in force after the enactment of the self-regulation legislative act in accordance with the Code of the Republic of Kazakhstan dated 29.10.2015 No. 375-V.

Article 62. Introduction of self-regulation and its types

In order to create favorable legal and economic conditions in the areas of entrepreneurial and professional activities, self-regulation shall be introduced based on voluntary and compulsory membership (participation) in self-regulating organizations in accordance with the laws of the Republic of Kazakhstan.

For self-regulation based on compulsory membership (participation) in a business or professional activity to be introduced, the following conditions must be met beforehand:

1) the regulatory authority in the particular field and the persons concerned must first carry out a regulatory impact assessment procedure in conformity with Article 83 of this Code;

2) the operation of self-regulatory organisations based on voluntary membership (participation) and (or) other non-profit organisations with compulsory membership of business or professional entities, excluding the National Chamber of Entrepreneurs of the Republic of Kazakhstan, in the area where self-regulation based on compulsory membership (participation) to be implemented.

Footnote. Article 62 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 95-VII of 30.12.2021 (shall be put into effect ten calendar days after the date of its first official publication).

SECTION 2. INTERACTION BETWEEN BUSINESS ENTITIES AND THE STATE Chapter 4. Participation of business entities in rule-making

Article 63. Accreditation of associations of private entrepreneurs

Footnote. Article 63 is excluded by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 64. Expert council

1. The Expert Council is a consultative and advisory body established under the central state and local executive bodies to organize work on:

developing proposals for improving the activities of state bodies in order to support and protect entrepreneurship, including the elimination of administrative barriers;

developing proposals for improving the legislation of the Republic of Kazakhstan, affecting the interests of entrepreneurship;

obtaining expert opinions from members of expert councils on draft normative legal acts, draft international treaties of the Republic of Kazakhstan, as well as international treaties, to which the Republic of Kazakhstan intends to become a member, affecting the interests of business.

2. The expert councils shall include representatives of the National Chamber, self-regulatory bodies, associations of private businesses and other non-profit organisations, public authorities.

Expert council meetings are held as needed.

3. Associations of private business entities and other non-commercial organizations attain the status of members of the expert council only from the moment of their accreditation with the central state or local executive body.

4. The procedure for accreditation, including the form of the certificate of accreditation, the grounds and procedure for revoking the accreditation of associations of private business entities and other non-profit organizations, is determined by the authorized body for entrepreneurship.

Сertificate of accreditation is issued for a period of three years.

Associations of private business entities accredited more than two times in a row at central state and (or) local executive bodies receive a certificate of accreditation on an unlimited basis.

5. Representatives of members of the expert council, whose powers are confirmed by a power of attorney, take part in the meetings of the expert council.

The composition of expert councils at the central state and local executive bodies is approved by decisions of the heads of these bodies.

6. Draft regulatory legal acts containing state secrets are not subject to review by the expert council.

7. Consideration of the draft regulatory legal act, draft international treaty of the Republic of Kazakhstan, as well as the international treaty to which the Republic of Kazakhstan intends to become a member, is carried out by the members of the expert council without holding a meeting by promptly sending a notice to the members of the expert council of the advisory council of the corresponding project open regulatory legal acts.

The meeting of the expert council is held on the initiative of the members of the expert council. The agenda is considered in the presence of at least two thirds of its members.

At the same time, meetings of the expert council is held by directly convening members of the expert council or by holding videoconferencing or an online conference in real time.

8. For consideration by the expert council, any issue affecting the interests of private entrepreneurship can be submitted if this issue falls within the competence of the relevant central state or local executive body.

9. Excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).
Footnote. Article 64 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); by the amendment introduced by the Law of the Republic of Kazakhstan dated 12.03.2021 No. 15-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication; No. 95-VII of 30.12.2021 (shall be brought into force ten calendar days after the date of its first official publication); dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 65. Features of the development and adoption of regulatory legal acts affecting the interests of business entities

The development and adoption of regulatory legal acts affecting the interests of business entities shall be carried out in accordance with this Code and the Law of the Republic of Kazakhstan "On Legal Acts".

Footnote. Article 65 is in the wording of the Law of the Republic of Kazakhstan dated 12.03.2021 No. 15-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication)

Article 66. Expert opinions on the concepts of draft laws, draft regulatory legal acts affecting the interests of entrepreneurs

Footnote. Article 66 is excluded by the Law of the Republic of Kazakhstan dated 12.03.2021 No. 15-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 67. Publication (distribution) of a draft regulatory legal act affecting the interests of business entities in the media

Footnote. Article 67 is excluded by the Law of the Republic of Kazakhstan dated 12.03.2021 No. 15-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 68. Procedure for the enactment of a regulatory legal act affecting the interests of entrepreneurs

Footnote. Article 68 is excluded by the Law of the Republic of Kazakhstan dated 12.03.2021 No. 15-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 69 Features of the conclusion of international treaties affecting the interests of private business entities

When developing the drafts of international treaties of the Republic of Kazakhstan, as well as international treaties, to which the Republic of Kazakhstan intends to become a party, affecting the interests of private business entities, the procedure provided for by this Code and Article 19 of the Law of the Republic of Kazakhstan "On Legal Acts" shall be applied.

Footnote. Article 69 is in the wording of the Law of the Republic of Kazakhstan dated 12.03. 2021 No. 15-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Chapter 5. PUBLIC PRIVATE PARTNERSHIP

Article 70. Definition of public private partnership

Public private partnership is a form of cooperation between a public partner and a private partner, corresponding to the following features:

1) building a relationship between a public partner and a private partner by entering into a public private partnership agreement;

2) medium-term or long-term period for implementation of a public-private partnership project (from five to thirty years, depending on the specifics of the public-private partnership project);

3) joint participation of a public partner and a private partner in the implementation of a public private partnership project;

4) pooling the resources of a public partner and a private partner for the implementation of a public private partnership project.

4-1) availability of investment and operational periods in the public-private partnership project.

The investment period includes design (if necessary), construction and (or) reconstruction, and (or) modernization or creation of a public-private partnership facility. The operational period includes the operation of the public-private partnership facility in accordance with its functional purpose, or maintenance, or management of the infrastructure of the public-private partnership facility;

5) carrying out investments for implementation of a public-private partnership project by a private partner.

Footnote. Article 70 as amended by the Law of the Republic of Kazakhstan dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 71. Participants of public private partnership

The participants of a public private partnership are the public partner and the private partner, as well as other persons participating in the implementation of the public private partnership project, as provided for by the Law of the Republic of Kazakhstan "On Public Private Partnership".

Article 72. Objects of public-private partnership

The objects of public-private partnership are buildings, structures and (or) equipment, property complexes, the results of intellectual creative activity that are being created (including being built and, if necessary, designed) and (or) reconstructed and (or) modernized, as well as operated within the framework of the public-private partnership project.

Footnote. Article 72 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 73. Main objectives and principles of public private partnership

1. The main objectives of public private partnerships are:

1) creation of conditions for effective interaction between the public partner and the private partner in order to ensure sustainable socio-economic development of the Republic of Kazakhstan;

2) attracting investments to the state economy by pooling the resources of a public partner and a private partner for the development of infrastructure and life support systems of the population;

3) increasing the level of availability and quality of goods, works and services, taking into account the interests and needs of the population, as well as other interested parties;

4) increasing the overall innovation activities in the Republic of Kazakhstan, including the promotion of the development of high-tech and knowledge-intensive industries.

2. The principles of public private partnership are:

1) the principle of consistency - the phased construction of relations between the participants of public private partnership;

2) the principle of competitiveness - the definition of a private partner on a competitive basis, with the exception of cases established by the Law of the Republic of Kazakhstan "On public private partnership";

3) the principle of balance - a mutually beneficial distribution of obligations, guarantees, risks and revenues between a public partner and a private partner in the process of implementing a public private partnership project;

4) the principle of effectiveness - the establishment of criteria and indicators to assess the achievement of the results of public private partnerships;

4-1) the principle of transparency and accessibility of information – open access to information on the processes of planning and implementation of public-private partnership projects within the limits established by the laws of the Republic of Kazakhstan;

5) the principle of value for the population is to ensure the development of social infrastructure and life support systems for the population, increasing the level of availability and quality of goods, works and services, as well as creating jobs as part of implementation of a public-private partnership project.

Footnote. Article 73 as amended by the Law of the Republic of Kazakhstan dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 74. The scope of public private partnership and methods for its implementation

1. Public private partnership is carried out in all sectors (fields) of the economy. At the same time, the objects, the list of which is determined by the Government of the Republic of Kazakhstan, cannot be transferred for the implementation of a public private partnership.

2. Public private partnership in the method of implementation is divided into institutional and contractual.

3. An institutional public private partnership is implemented by a public private partnership company in accordance with a public private partnership agreement.

4. In other cases, public private partnership is carried out according to the method of contractual public private partnership.

A contractual public private partnership is implemented through the conclusion of a public private partnership agreement, including in the following forms:

1) concessions;

2) trust management of state property;

3) property rental (lease) of state property;

4) leasing;

5) contracts concluded for the development of technology, prototyping, pilot testing and small-scale production;

6) life cycle contract;

7) service contract;

8) other contracts corresponding to the features of public private partnership.

Footnote. Article 74 as amended by the Law of the Republic of Kazakhstan dated 03.07.2017 No. 86-VI (shall be enforced upon expiry of ten calendar days after its first official publication).

Chapter 6. SOCIAL RESPONSIBILITY OF ENTREPRENEURSHIP

Article 75. General provisions of the entrepreneurship social responsibility

1. The social responsibility of entrepreneurship is the voluntary contribution of business entities to the development of social, environmental and other areas.

2. The state creates conditions for the social responsibility of entrepreneurship in the Republic of Kazakhstan.

3. No one has the right to force business entities to carry out social responsibility activities.

Unlawful state interference in the affairs of business entities in the implementation of charity is not allowed.

4. Business entities in their activities can introduce social responsibility of entrepreneurship in the areas of employment and labor relations, environmental protection and other areas.

Social responsibility of entrepreneurship can be carried out by business entities through charity and in other forms not prohibited by the legislation of the Republic of Kazakhstan.

Article 76. Social responsibility of entrepreneurship in employment and labor relations

1. Social responsibility of entrepreneurship is based on the protection of the rights of workers of business entities provided for by the legislation of the Republic of Kazakhstan and shall be aimed at developing partnerships between the entrepreneur and his/her employees in solving social issues and regulating working conditions.

2. The main directions in employment and labor relations of entrepreneurship are preservation of working places, the improvement of working conditions, provision of safe working conditions and observance of the norms of social protection of workers, as well as approval of internal policies.

3. Business entities are involved in the implementation of the policy of social partnership and collective relations in the labor area in accordance with the labor legislation of the Republic of Kazakhstan.

Article 77. Social responsibility of entrepreneurship in the environmental area

1. Business entities shall ensure careful and rational attitude to the environment.

2. The social responsibility of entrepreneurship in the environmental area is implemented through the voluntary performance of the following objectives:

1) financing of programs and activities in environmental protection and improvement of streets, parks and other public places;

2) approval of the internal policy in environmental protection;

3) solution of other issues aimed at improving the state of the environment.

Article 78. State guarantees of business entities in the implementation of charity

1. Protection of the rights and legitimate interests of entrepreneurs-charity participants is guaranteed and supported by the state.

2. The state stimulates the charity of business entities by establishing and awarding state awards to business entities engaged in such activities that have made a significant contribution to the development of charity in the manner determined by the President of the Republic of Kazakhstan, as well as honorary titles in the manner determined by the authorized body in the field of charity.

3. Business entities engaged in charity are may to tax benefits in accordance with the Code of the Republic of Kazakhstan "On taxes and other obligatory payments to the budget" (Tax Code).

4. Officials of state bodies that impede the realization of the rights of business entities to implement charity and receive charitable assistance by individuals and legal entities shall be liable in accordance with the laws of the Republic of Kazakhstan.

Footnote. Article 78 as amended by the Law of the Republic of Kazakhstan dated 03.07.2017 No. 86-VI (shall be enforced upon expiry of ten calendar days after its first official publication); dated 04.07.2022 No. 134-VII (shall be enforced sixty calendar days after the date of its first official publication).

Article 79. The interaction between the state and business entities engaged in charity

1. The state shall ensure the observance of the rights and legitimate interests of entrepreneurs, as well as their associations engaged in charity.

2. Entrepreneurs, as well as their associations engaged in charity, can cooperate and interact with state bodies, local executive bodies, enter into agreements with them, and also perform certain works on the basis of contracts stipulated by the laws of the Republic of Kazakhstan.

3. The norms of this Code do not apply to the mechanism for attracting, evaluating, monitoring and using related and unrelated grants that cannot be used for philanthropic goals.

Chapter 6-1. Social entrepreneurship

Footnote. Section 2 is supplemented by chapter 6-1 in accordance with the Law of the Republic of Kazakhstan dated 24. 06. 2021 No. 52-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 79-1. Social entrepreneurship

Social entrepreneurship is the entrepreneurial activity of social entrepreneurship entities that contributes to the solution of social problems of citizens and society, carried out in accordance with the conditions provided for in Article 79-3 of this Code.

The subjects of social entrepreneurship shall be individual entrepreneurs and legal entities (with the exception of large business entities) included in the register of social entrepreneurship entities.

Article 79-2. The main tasks of social entrepreneurship

The main tasks of social entrepreneurship shall be:

1) ensuring the participation of business entities in solving social problems, including through the introduction of social innovations and assistance in the provision of social services provided for in Article 79-3 of this Code.

For the purposes of this Code, social innovations shall be understood as new ideas, strategies, technologies that contribute to the solution of socially significant tasks causing social changes in the society;

2) assistance in providing employment to socially vulnerable segments of the population specified in Article 79-3 of this Code, and creating equal opportunities for them with other citizens to participate in socially useful activities;

3) promotion of manufactured goods, works performed, services provided by social entrepreneurship entities to the market, including through personal labor participation of socially vulnerable segments of the population specified in Article 79-3 of this Code.

Article 79-3. Categories of social entrepreneurship entities

Entities of social entrepreneurship shall be divided into the following categories depending on the compliance with one or more of conditions listed in this Article:

1) the first category - the entity of social entrepreneurship contributes to the employment of the following categories of citizens, provided that, according to the results of the previous calendar year, the average annual number of persons belonging to any of these categories (one or more such categories), among the employees of social entrepreneurship entity is at least fifty percent (but not less than two persons belonging to such categories), and the share of labor costs of persons belonging to any of these categories (one or more such categories) in labor costs is at least twenty-five percent (the social status of the employee shall be established at the time of conclusion of an employment contract):

persons with disabilities;

parents and other legal representatives raising a child with a disability;

pensioners and citizens of pre-retirement age (within five years before reaching the age that gives the right to pension payments by age);

pupils of children's villages and graduates of orphanages, boarding schools for orphans and children left without parental care - under the age of twenty-nine;

persons released from serving a sentence from institutions of the penitentiary (penal) system - within twelve months after release;

persons without a fixed place of residence;

parents and other legal representatives belonging to low-income, large or single-parent families, as well as mothers of large families, awarded with pendants "Altyn alka", "Kumis alka" or previously received the title of "Mother-Heroine", as well as awarded with the orders "Mother's Glory" of the I and II degree;

persons who have undergone medical and social rehabilitation of narcological patients or treatment from the dependence on psychoactive substances – within twelve months after the rehabilitation or treatment;

compatriots;

2) the second category - the entity of social entrepreneurship contributes to the sale of goods produced, works performed, services rendered by the citizens from among the categories specified in subparagraph 1) of this Article. At the same time, the share of income from the implementation of such activities (types of such activities) following the results of the previous calendar year should be at least fifty percent of the total income of a social entrepreneurship entity, and the share of net income received by a social entrepreneurship entity for the previous calendar year, aimed at the implementation of such activities (types of such activities) in the current calendar year, is not less than fifty percent of the amount of the specified income (if there is net income for the previous calendar year);

3) the third category – the subject of social entrepreneurship carries out activities for production of goods, performance of works, provision of services intended for persons with disabilities, in order to create conditions for them to overcome or compensate for the limitations of their life, as well as those intended for other persons specified in subparagraph 1) of this article, in order to create equal opportunities with other citizens for participation in socially useful activities provided, that the share of income from such activities (types of such activities) according to the results of the previous calendar year is at least fifty percent of the total income of the subject of social entrepreneurship, and the share of net income received by the subject of social entrepreneurship for the previous calendar year, aimed at the implementation of such activities (types of such activities) in the current calendar year, is not less than fifty percent of the amount of the specified income (if there is net income for the previous calendar year) in accordance with the following activities:

for the provision of social and household services aimed at maintaining life in everyday life;

for the provision of social and medical services aimed at maintaining and preserving health through the organization of care, providing assistance in the implementation of recreational activities, systematic monitoring to identify changes in the state of health of citizens;

for the provision of socio-psychological services, providing assistance in the correction of psychological state for adaptation in the social environment;

for the provision of socio-pedagogical services aimed at preventing deviations in behavior;

for rendering social and labor services aimed at providing assistance in finding employment and solving other problems related to labor adaptation;

for rendering services providing for the increase in communication potential, rehabilitation and social adaptation, social support services;

production and (or) sale of medical equipment, prosthetic and orthopedic products, software in the field of digital healthcare, as well as technical means that can be used exclusively for prevention of diseases, rehabilitation of persons with disabilities, including medical rehabilitation of children with disabilities;

organization of recreation and health improvement of persons with disabilities and pensioners;

on the implementation of educational programs of additional training;

creation of conditions for persons with disabilities and low-mobility groups of the population to ensure access to social, transport and recreational infrastructure, the use of vehicles, provision of universal communication services when providing information;

4) the fourth category - the entity of social entrepreneurship carries out its activity on the condition that the share of income from the implementation of such activities (types of such activities) following the results of the previous calendar year shall be at least fifty percent of the total income of the social entrepreneurship entity, and the share of the net income received by the social entrepreneurship entity income for the previous calendar year, aimed at the implementation of such activities (types of such activities) in the current calendar year shal be at least fifty percent of the amount of the specified income (in the event of a net income for the previous calendar year) from among the following types of activities:

for the provision of psychological, pedagogical and other services aimed at strengthening the family, ensuring family upbringing of children and supporting motherhood and childhood;

for the organization of recreation and health improvement of children;

for the implementation of general education curricula for preschool education and training, primary, basic secondary, general secondary education, educational programs for technical and vocational education;

for the provision of psychological and pedagogical support to the children with disabilities, medical and social assistance to students and pupils who experience difficulties in mastering the curricula of basic secondary and general secondary education, development and social adaptation;

on training employees and volunteers (volunteers) of socially oriented non-commercial organizations aimed at improving the quality of services provided by such organizations;

cultural and educational (including the activities of private museums, theaters, libraries, archives, studio schools, creative workshops, botanical and zoological gardens, houses of culture, houses of folk art);

on environmental protection;

for the provision of geriatric and gerontological assistance, organization of health and longevity centers, and activities to maintain a healthy lifestyle to socially vulnerable segments of the population specified in Article 79-3 of this Code.

Footnote. Article 79-3 as amended by the Law of the Republic of Kazakhstan dated 27.06.2022 No. 129-VII (shall be enforced ten calendar days after the date of its first official publication)

Article 79-4. Register of social entrepreneurship entities

1. The authorized body for entrepreneurship shall maintain a register of social entrepreneurship entities for the use of data on the categories of social entrepreneurship entities.

The register of social entrepreneurship entities shall be an electronic database containing information about individual entrepreneurs and legal entities that are subjects of social entrepreneurship, namely:

1) the name of an individual entrepreneur or the name and date of registration of a legal entity;

2) an identification number;

3) a legal address (location);

4) the date of entry in the register of social entrepreneurship entities;

5) the category of a social entrepreneurship entity.

The authorized body for entrepreneurship shall approve the register of social entrepreneurship entities no later than February 1 of the current year as of December 31 of the previous calendar year.

The specified information shall be updated annually by the authorized body for entrepreneurship as of December 31 of the previous calendar year for compliance with the conditions provided for in Article 79-3 of this Code, taking into account the information provided by local executive bodies of regions, cities of republican significance and the capital city following the results of consideration by a special commission.

If an individual entrepreneur or a legal entity meet the conditions provided for in Article 79-3 of this Code, the authorized body for entrepreneurship shall have the right to enter new subjects of social entrepreneurship in the register on the 1st day of the calendar quarter on the basis of information submitted to the authorized body for entrepreneurship by local executive bodies of regions, cities of republican significance and the capital city, following the results of consideration by a special commission.

The special commission includes representatives of state bodies, the National Chamber of Entrepreneurs, public associations and trade unions.

2. The authorized body for entrepreneurship shall place the register of social entrepreneurship entities on its Internet resource.

3. The rules for maintaining the register of social entrepreneurship entities are approved by the authorized body for entrepreneurship.

Footnote. Article 79-4 as amended by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Chapter 7. STATE REGULATION OF ENTREPRENEURSHIP

Article 80. Goals, objectives, and limits of business regulation by the state

1. The objectives of business regulation by the state shall include ensuring the safety of goods, works and services produced and sold by business entities for life and health of people, protection of their legitimate interests, safety for the environment, national security of the Republic of Kazakhstan, protection of property interests of the state and creation of favourable conditions for business development that stimulates the growth of the country's economy.

2. The objectives of business regulation by the state shall include:

1) protecting human life and health and the environment;

2) establishing a regulatory environment that encourages investment in the national economy and a favourable ecosystem for innovation;

3) creating conditions for the development of fair competition;

4) encouraging fair, ethical business conduct based on the business reputation of entrepreneurs;

5) promoting self-regulation;

6) consumer protection.

3. Business regulation by the state shall be implemented through regulatory instruments and be based on the establishment by the state of requirements that must be met by business entities at the level of:

1) the Laws of the Republic of Kazakhstan;

2) the normative legal decrees of the President of the Republic of Kazakhstan;

3) the normative legal decrees of the Government of the Republic of Kazakhstan;

4) the regulatory legal orders from ministers of the Republic of Kazakhstan and other heads of central state bodies and their departments;

5) the regulatory legal acts of the National Bank of the Republic of Kazakhstan and the competent authority for regulation, control and supervision of the financial market and financial organisations;

6) the regulatory legal decisions of maslikhats, regulatory legal decisions of akims, and regulatory legal decisions of akimats;

7) other documents containing mandatory requirements in compliance with the legislation of the Republic of Kazakhstan.

4. The effect of this Chapter shall not apply to state regulation of entrepreneurship in the field of financial legislation of the Republic of Kazakhstan, activities of financial organizations, branches of non-resident banks of the Republic of Kazakhstan, branches of non-resident insurance (reinsurance) organizations of the Republic of Kazakhstan, branches of non-resident insurance brokers of the Republic of Kazakhstan and persons being part of insurance groups and banking conglomerates, to draft regulatory legal acts of the National Bank of the Republic of Kazakhstan and the authorized body for regulation, control and supervision of the financial market and financial organizations, as well as to draft regulatory legal acts of the authorized body exercising management in tax revenues assurance and other obligatory payments to the budget, currency regulation issues.

Footnote. Article 80 - as reworded by Law of the RK No. 95-VII of 30.12.2021 (shall be enacted ten calendar days after the date of its first official publication); as amended by the Law of the Republic of Kazakhstan dated 12.07.2023 No.23-VIII (shall be enforced from 01.01.2024).

Article 81. Forms and means of business regulation by the state

1. Businesses shall be regulated by the state in the form of:

1) state registration of business entities;

2) technical regulation;

3) price and tariff regulation by the state;

4) compulsory insurance of civil liability of business entities in obedience to the laws of the Republic of Kazakhstan;

5) protection of competition and restriction of monopolistic activities;

6) other forms of business regulation by the state established by the laws of the Republic of Kazakhstan.

2. The following regulatory instruments shall be the means of enforcing the requirements that are binding on business entities:

1) permissive or notification procedure for undertaking certain activities or actions (operations) by business entities);

2) state control and supervision;

3) establishment of the liability of business entities by the laws of the Republic of Kazakhstan;

4) information tools;

5) self-regulation based on compulsory membership (participation) in a self-regulatory organisation.

Footnote. Article 81 – as reworded by Law of the RK No. 95-VII of 30.12.2021 (shall come into force ten calendar days after the date of its first official publication).

Article 81-1. Conditions for the formation of regulatory instruments and/or requirements binding on business entities

1. Regulatory instruments and/or requirements shall be formed based on the following conditions:

1) justification;

2) equality of business regulation;

3) transparency;

4) enforceability;

5) clearness;

6) proportionality and rationality;

7) consistency and predictability.

2. The conditions referred to in paragraph 1 hereof shall be interpreted as follows:

1) justification means that regulatory instruments and/or requirements are introduced solely for the protection of the rights and legitimate interests of individuals and legal entities, human life and health, the environment, defence and national security of the Republic of Kazakhstan;

2) equality of business regulation means preventing the establishment of more favourable legal conditions for certain market participants, including quasi-public sector entities and natural monopoly entities, when carrying out this regulation, unless otherwise established by the laws of the Republic of Kazakhstan;

3) transparency refers to the availability of information on the regulatory instrument and/or requirement to be introduced (changed) and the clarity of the reasons for its introduction;

4) enforceability refers to the ability of business entities to comply with the terms of the regulatory instrument and/or requirement imposed;

5) clearness means that the norms of the regulatory instruments and/or requirements are presented in a comprehensible, accessible form that does not allow for ambiguous interpretation;

6) proportionality and rationality refers to the consistency of the level of impact of state regulation of business with the degree of risk of adverse events for the values protected by the Constitution and laws of the Republic of Kazakhstan;

7) consistency and predictability refers to the consistency of the regulatory instruments and/or requirements introduced and/or in force with the documents of the State Planning System in the Republic of Kazakhstan.

3. The introduction of regulatory instruments and/or requirements, as well as changes to existing ones, shall be subject to the conditions laid down herein.

Regulatory instruments and/or requirements shall be consistent with the goals, objectives of state regulation of business and the principles of interaction between business entities and the state as set out in Articles 3 and 80 of this Code.

4. The evaluation of consistency with the conditions of implemented and in force regulatory instruments and/or requirements shall be performed as part of the regulatory impact analysis in line with the rules for conducting and using regulatory impact analysis of regulatory instruments and/or requirements.

Footnote. Chapter 7 as supplemented by Article 81-1 in obedience to Law of the Republic of Kazakhstan No. 95-VII of 30.12.2021 (shall be enacted ten calendar days after the date of its first official publication).

Article 82. Specifics of the development and adoption of regulatory legal acts providing for the introduction of regulatory instruments and (or) requirements, toughening regulation in relation to business entities

1. Where public authorities intend to introduce a new regulatory instrument and/or requirement, to tighten regulation on business entities, public authorities must first carry out a regulatory impact analysis procedure in a way to be determined by the competent authority on entrepreneurship.

Tougher regulation shall involve imposing additional obligations or otherwise increasing the burden on business entities.

2. The introduction of a new requirement or toughening of regulation in relation to business entities shall envisage the cancellation of two requirements in the same area of legal regulation of business activities in the manner prescribed by the rules for conducting and using regulatory impact analysis of regulatory instruments and (or) requirements, excluding cases that may entail a massive threat to human life and health, the environment and national security of the Republic of Kazakhstan.

The provisions of this paragraph shall not apply to cases where the regulation of the respective legal relations in the course of business activities is introduced for the first time, as well as to the situations stipulated in sub-paragraph 3) of paragraph two hereof.

3. Draft documents of the State Planning System in the Republic of Kazakhstan, draft regulatory legal acts of the Republic of Kazakhstan, draft technical regulations of the Eurasian Economic Union, providing for the introduction of regulatory instruments and (or) requirements or stricter regulation of business entities are subject to regulatory impact analysis.

However, the requirement to perform a regulatory impact analysis before and after the introduction of a regulatory instrument and/or a requirement to toughen regulation on business entities shall not apply to:

1) regulating the consequences of accidents, natural disasters and other emergencies;

2) regulation of the turnover of weapons and military equipment, turnover of civilian and service weapons and ammunition, turnover of narcotic drugs, psychotropic substances, their analogues and precursors;

3) regulating the activities of financial institutions, branches of non-resident Kazakhstan banks, branches of non-resident Kazakhstan insurance (reinsurance) organisations, branches of non-resident Kazakhstan insurance brokers and persons belonging to insurance groups and banking conglomerates, as well as to the drafts of regulatory legal acts of the National Bank of the Republic of Kazakhstan and the competent authority for the regulation, control and supervision of the financial market and financial organisations;

4) establishment of a special currency regime in the event of a threat to the economic stability of the Republic of Kazakhstan and the stability of its financial system;

4-1) introduction of prohibitions and quantitative restrictions and measures of customs and tariff regulation in order to prevent or reduce a critical shortage in the domestic market of food or other goods included in the list of essential goods and to ensure the national security of the Republic of Kazakhstan on the basis of a decision of the advisory body on trade policy under the Government of the Republic of Kazakhstan;

5) Draft regulations containing information constituting State Secrets;

6) decision-making on the establishment of a quarantine zone with the introduction of a quarantine regime in the territory concerned, as well as quarantine or restrictive measures in the event of infectious and parasitic diseases of humans and contagious animal diseases;

7) regulating issues regarding countering extremism and terrorism;

8) regulation of issues in the sphere of counter-intelligence and intelligence activities;

9) regulation of issues in the field of operational and investigative activities;

10) regulation of security measures to ensure the safety of protected persons and facilities;

11) regulation of issues associated with the proclamation and enforcement of martial law.

The requirements to perform a regulatory impact analysis when introducing a new regulatory instrument and (or) requiring or toughening regulation in relation to business entities shall also not apply to draft laws developed as a legislative initiative of the President of the Republic of Kazakhstan and deputies of the Parliament of the Republic of Kazakhstan, as well as to the consideration process of draft laws in the Parliament of the Republic of Kazakhstan. Regulatory impact analysis may be performed with respect to draft laws introduced by way of legislative initiative of the deputies of the Parliament of the Republic of Kazakhstan, as well as amendments by the deputies to draft laws, being under consideration in the Parliament of the Republic of Kazakhstan, on the grounds established hereby, as part of the opinion of the Government of the Republic of Kazakhstan.

4. The introduction of a new regulatory instrument and/or requirement, toughening regulation on business entities shall only be implemented after approval at a meeting of the interdepartmental commission on business regulation.

The Interdepartmental Commission on Entrepreneurship Regulation shall be an advisory and consultative body under the Government of the Republic of Kazakhstan, established to develop proposals and recommendations on improving the legislation of the Republic of Kazakhstan in the field of entrepreneurship, whose main functions shall include:

1) consideration of the results of the regulatory impact analysis;

2) consideration and approval of the annual report on the state of business regulation in the Republic of Kazakhstan;

3) reviewing and taking decisions on the recommendations of the expert groups;

4) exercising other functions in pursuance of the legislation of the Republic of Kazakhstan.

The Interdepartmental Commission on Business Regulation shall be authorised to:

1) interact with central executive and other public authorities and organisations;

2) submit proposals and recommendations to the Government of the Republic of Kazakhstan on improving the legislation of the Republic of Kazakhstan in the field of entrepreneurship;

3) invite to the sessions of the interdepartmental commission on the regulation of entrepreneurial activity and to hear representatives of state bodies and other organisations of the Republic of Kazakhstan on issues falling within its competence;

4) request and obtain from public authorities and other organisations the required materials, excluding information constituting commercial, banking and other secrets protected by law;

5) establish expert groups, approve their regulations and ensure transparency in the formation and operation of such expert groups.

The requirements of this paragraph do not apply to draft acts of regional significance, as well as to the cases provided for in subparagraphs 3) and 4) of part two of paragraph 3 of this Article, except in cases of the introduction of a regulatory instrument and (or) requirements, stricter regulation of business entities in draft laws of the Republic of Kazakhstan.

Acts of regional significance shall refer to documents of the State Planning System in the Republic of Kazakhstan and normative legal acts adopted by local representative and executive bodies, including the akim of the respective territory.

5. The introduction of administrative and/or criminal liability or a review of the existing administrative and/or criminal liability of business to a greater extent, in addition to the regulatory impact analysis, shall include:

1) the inadmissibility of punitive legal measures;

2) a reasonable balance of legal responsibility where more than one type of legal liability is imposed for the same offence;

3) clarification of the requirements the violation of which entails legal liability in the regulatory impact analysis.

Footnote. Article 82 - as reworded by Law of the RK No. 95-VII of 30.12.2021 (shall come into force ten calendar days after its first official publication); dated 05.11.2022 No. 157-VII (shall be enforced from 01.01.2023); as amended by the Laws of the Republic of Kazakhstan dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication);

Article 83. Regulatory Impact Analysis

1. Regulatory impact analysis shall refer to the analytical procedure of contrasting the benefits and costs of a regulatory instrument and/or requirement, a stricter regulation, to assess the achievement of the regulatory objectives at a later stage.

The goal of regulatory impact analysis shall be to improve the effectiveness and efficiency of public policy in using specific regulatory instruments and/or requirements, toughening regulation by assessing alternative regulatory approaches to achieve certain objectives or address clearly specified.

Regulatory impact analysis shall evaluate the impact of a regulatory instrument and/or requirement that is being introduced, or a tougher regulation, on the competitive environment.

Regulations for conducting a competition impact assessment shall be approved by the competition authority.

2. Regulatory impact analysis shall be performed before and after the implementation of a regulatory instrument and/or requirement, regulatory toughening, including for existing regulatory instruments and/or requirements, for which no regulatory impact analysis has been performed before.

Analysis of the regulatory impact of the regulatory instruments and/or requirements implemented, the toughening of regulation, as well as the regulatory instruments and/or requirements, the toughening of regulation in force shall be performed in line with the revision plans approved annually by the state regulatory authorities, taking into account reasonable proposals of the competent authority on entrepreneurship, the National Chamber of Commerce.

Regarding the documents referred to in subparagraph 6) of paragraph 2 of Article 80 of this Code, the revision plan is approved annually by the local executive body of the region, the city of republican status, the capital, including the reasonable proposals of the regional chamber of entrepreneurs.

Information on the non-implementation by public authorities of plans to revise existing regulatory instruments and/or requirements, toughening regulation shall be submitted to the interdepartmental commission on business regulation.

2-1. A regulatory instrument and/or requirement, toughening of regulation in relation to business entities may be withdrawn or revised based on proposals made by the Ombudsman for the Protection of Entrepreneurs of Kazakhstan.

In the event envisaged in part one of this paragraph, the public authorities shall first carry out a regulatory impact assessment procedure hereunder.

3. According to the results of the analysis of the regulatory impact, depending on the effectiveness of the use of the regulatory instrument, the regulatory instrument may be canceled or otherwise revised.

The regulatory instrument is subject to cancellation in case of failure to achieve the objectives of state regulation of entrepreneurial activities, declared with its introduction.

4. Analysis of the regulatory impact is carried out by state bodies in respect of draft documents provided for by paragraph 2 of Article 80 of this Code, as well as by the authorized body on entrepreneurship, the National Chamber and other interested persons in a manner determined by the authorized body on entrepreneurship.

At the same time, the analysis of the regulatory impact is carried out by the regulatory state bodies, with the exception of acts of regional significance, in relation to which the regulatory impact analysis is carried out by their developers.

5. Regulatory impact analysis shall be a prerequisite for the introduction of a new regulatory instrument and/or requirement, a tougher regulation.

6. Authorized body on entrepreneurship:

1) considers the results of the regulatory impact analysis and provides an opinion on the compliance of the regulatory authorities, the National Chamber and other stakeholders with the established procedures, with the exception of draft acts of regional importance;

2) in case of disagreement with the findings of the analysis of the regulatory impact, conducts an alternative analysis of the regulatory impact;

3) when forming and maintaining the register of mandatory requirements in the field of entrepreneurship, provides confirmation of compliance of a regulatory legal act or other document containing mandatory requirements in accordance with the legislation of the Republic of Kazakhstan, a draft regulatory legal act of the Republic of Kazakhstan, a draft document of the State Planning System in the Republic of Kazakhstan or a draft other document containing mandatory requirements in accordance with the legislation of the Republic of Kazakhstan, with the requirements of Articles 9, 11, 80, 81-1 and 82 of this Code.

7. The local executive body of the region, the city of republican status, the capital, providing leadership in entrepreneurship:

1) considers the results of the analysis of the regulatory impact and draws a conclusion on the compliance of the developers of draft acts of regional importance, the regional chamber and other interested parties with the established procedures;

2) in case of disagreement with the findings of the analysis of the regulatory impact, conducts an alternative analysis of the regulatory impact.

The outcomes of the regulatory impact analysis shall be presented to the consultative and advisory body under the akimat of the oblast, city of national significance and the capital on interdepartmental issues, formed under the Law of the Republic of Kazakhstan “On Local Public Administration and Self-Government in the Republic of Kazakhstan”, the endorsement thereof is a mandatory condition for introducing a new regulatory instrument and/or requirement, toughening regulation.

8. The results of the analysis of the regulatory impact and the alternative analysis of the regulatory impact are posted on publicly accessible Internet resources.

Footnote. Article 83 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after its first official publication); as amended by Law of the RK No. 95-VII of 30.12.2021 (shall be enacted ten calendar days after the date of its first official publication); No. 101-VII of 03.01.2022 (shall take effect on 01.05.2022); dated 05.11.2022 No. 157-VII (shall be enforced from 01.01.2023).

Article 83-1. Registry of mandatory business requirements

1. The register of mandatory business requirements (hereinafter referred to as the register of requirements) shall refer to a publicly accessible database of regulatory acts in the context of business regulation areas.

For the purposes hereof, regulatory acts shall mean existing normative legal acts as well as other documents containing under the legislation of the Republic of Kazakhstan requirements that are binding on business entities.

The register of requirements shall fulfil the following objectives:

1) ensuring compliance with the conditions for the formation of the requirements stipulated in this Code and with the principles of interaction between business entities and the state;

2) ensuring awareness among business entities of the exhaustive list of requirements mandatory for their activities.

2. The register of requirements shall include the current regulatory acts containing the requirements mandatory for business entities in the respective areas of regulation.

Regulatory acts shall be recorded in the register of requirements for subsequent analysis to assess their efficiency, including the achievement of the stated objectives of state regulation and compliance with the conditions for the formation of mandatory requirements stipulated by this Code and the principles of interaction between business entities and the state.

The areas of business regulation where regulatory acts are subject to inclusion in the register of requirements shall be determined by the Government of the Republic of Kazakhstan based on the recommendations of the interdepartmental commission on business regulation.

3. Regulatory acts shall be included in the register of requirements upon the submission of the regulatory state authorities applying them in business regulation, submitted to the competent business authority in conformity with the regulations for maintaining the register of mandatory business requirements.

The regulatory authorities shall determine in the submission, in consultation with the competent authority for entrepreneurship, the time frame for the follow-up analysis of the regulatory acts.

4. The regulatory acts shall be analysed in line with the regulations on the conduct and use of regulatory impact analysis of regulatory instruments and/or requirements.

5. Regulatory acts shall be included in the requirements register as follows:

1) the Laws of the Republic of Kazakhstan - article by article;

2) other regulatory legal acts of the Republic of Kazakhstan and other documents - according to the names of these acts or documents with indication of their requisites.

6. If the state regulatory authority has not analysed the regulatory act in time, the act in question will be removed from the requirements register.

To prevent entrepreneurs from being held liable for breaching requirements that do not comply with Article 81-1 of this Code, the regulatory authority shall repeal (declare invalid) or amend and/or supplement the regulatory acts in case they are missing and/or removed from the register of requirements:

1) within six months from the date of removal from the requirements register or discovery of absence from the requirements register - for the requirements stipulated by the legislative acts of the Republic of Kazakhstan;

2) within three months from the date of removal from the requirements register or the revelation of absence from the requirements register - for other regulations and documents.

In case of a breach of the deadlines stipulated in sub-paragraphs 1) and 2) of part two of this paragraph, failure to comply with the requirements of the relevant regulatory acts by business entities may not constitute grounds for holding them administratively liable.

7. The requirements register shall be compiled and maintained by the responsible body for entrepreneurship based on the Unified Legal Information System.

Footnote. Chapter 7 as supplemented by Article 83-1 in obedience to Law of the RK No. 95-VII of 30.12.2021 (shall come into force on 01.01.2023).

Article 84. Competence of the Government of the Republic of Kazakhstan in state regulation of entrepreneurship

1. The competence of the Government of the Republic of Kazakhstan shall include:

1) approval of rules for the maintenance and use of the register of entrepreneurs;

1-1) development of the main directions of state policy in state regulation of entrepreneurship;

1-2) excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication);

1-3) determination of the spheres of regulation of entrepreneurial activity, the regulatory acts of which are subject to inclusion in the register of requirements;

2) excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication);
3) excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication);
4) excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication);
2. Excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).
Footnote. Article 84 as amended by the Law of the Republic of Kazakhstan No.156-VI dated 24.05.2018 (order of enforcement see Article 2); dated 30. 12. 2020 No. 397-VI (shall be enforced upon expiry of six months after the date of its first official publication); dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023); dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 85. Authorized body on entrepreneurship and its competence in state regulation of entrepreneurship

1. The authorized agency for entrepreneurship is a government agency that provides leadership and inter-sectoral coordination in the development and support of private entrepreneurship.

2. Authorized body on entrepreneurship:

1) informs the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan on violations of the legislation of the Republic of Kazakhstan regulating the activities of business entities permitted by state bodies and their officials;

1-1) formulates and implements state policy in the field of state regulation of entrepreneurship;

2) coordinates the risk assessment system of state bodies by joint approval of risk assessment criteria, checklists developed by authorized state bodies;

3) develops and approves the forms of checklists;

3-1) interacts with the authorized body in legal statistics and special accounting for the exchange of information on the registration of inspections and preventive control and supervision of the bodies of control and supervision;

4) maintains a register of entrepreneurs;

4-1) maintains a register of social entrepreneurship entities;

5) develops rules for maintaining and using the register of entrepreneurs;

5-1) approves the rules for maintaining the register of mandatory requirements in the field of entrepreneurship;

5-2) develops and approves the rules for formation of a risk assessment and management system by regulatory state bodies;

6) approves the rules for calculating the average annual number of employees and average annual income;

7) develops and approves rules for conducting and using regulatory impact analysis of regulatory instruments and/or requirements;

8) Excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication);

9) provides methodological assistance and coordinates the activities of regulatory state bodies on the implementation of regulatory impact analysis;

10) considers reports of local executive bodies of the region, the city of republican status, the capital, providing leadership in entrepreneurship, on the state of work on the analysis of regulatory impact;

10-1) ensures the activities of the interdepartmental commission on the regulation of entrepreneurial activities;

11) organizes training of civil servants and other persons in the implementation of regulatory impact analysis;

12) conducts an alternative analysis of the regulatory impact;

13) develops a draft annual report on the state of regulation of entrepreneurship in the Republic of Kazakhstan;

13-1) develops and approves the list of information tools;

13-2) is excluded by the Law of the Republic of Kazakhstan dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
13-3) is excluded by the Law of the Republic of Kazakhstan dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

13-4) develops a list of informatization objects of state bodies and organizations subject to integration with the register of business partners in agreement with the National Chamber of Entrepreneurs of the Republic of Kazakhstan;

14) exercises control in support and protection of private entrepreneurs.

3. The authorized body on entrepreneurship shall exercise other powers provided for by this Code, other laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 85 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication); dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 24. 06. 2021 No. 52-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 95-VII of 30.12.2021 (see Article 2 for the enactment procedure); dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 86. Regulatory state bodies and their competence in state regulation of entrepreneurship

1. Regulatory government agencies are:

1) public authorities exercising leadership in a particular industry or sphere of public administration in which state control and supervision is exercised;

2) public authorities exercising leadership in a particular sector or area of government where a regulatory instrument and/or requirement is introduced or planned to be introduced, toughening regulation on business entities.

2. The competence of regulatory state bodies exercising leadership in a particular industry or sphere of public administration in which state control and supervision is carried out includes:

1) implementation of state policy in state control and supervision in the relevant industry (sphere) in which state control and supervision is carried out;

2) approval, within its competence, of regulatory legal acts provided for in paragraph 1 of Article 143 of this Code, as well as semi-annual schedules of inspections;

2) adoption, within its competence, of the regulations envisaged in paragraphs 2 and 3 of Article 141, paragraph 1 of Article 143 of this Code, as well as the semi-annual schedules for inspections;

3) organization of state control and supervision in accordance with the laws of the Republic of Kazakhstan;

4) monitoring the effectiveness of state control and supervision;

4-1) consideration of proposals of the authorized body in legal statistics and special accounting to improve the conduct of state control and supervision and decision-making, including by amending and supplementing the regulatory legal acts of the Republic of Kazakhstan;

5) performing other functions stipulated by this Code, the laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

3. The competence of the regulatory public authorities governing a particular sector or area of public administration where a regulatory instrument and/or requirement is introduced or planned to be introduced, to toughen regulation of business entities, shall include:

1) submission to the authorized body on entrepreneurship of reports on the status of regulation of entrepreneurial activities;

2) the exercise of other powers provided for by this Code, other laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 86 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication); No. 95-VII of 30.12.2021 (see Article 2 for the enactment procedure);

Article 87. Bodies of control and supervision and their competence in state regulation of entrepreneurship

1. Bodies of control and supervision are state bodies, their departments and territorial divisions, as well as local executive bodies that monitor and check for compliance of the activities of the audited entities with the requirements established by the legislation of the Republic of Kazakhstan in accordance with paragraph 2 of Article 132 of this Code.

2. The competence of the bodies of control and supervision shall include:

1) implementation of state policy in state control and supervision in the relevant field;

2) development, within its competence, of regulatory legal acts provided for in paragraph 1 of Article 143 of this Code, as well as semi-annual schedules of inspections;

2) development within its competence of the regulatory legal acts provided for by paragraphs 2 and 3 of Article 141, paragraph 1 of Article 143 of this Code, as well as semi-annual schedules for conducting inspections;

3) carrying out state control and supervision in accordance with the laws of the Republic of Kazakhstan;

4) monitoring the effectiveness of state control and supervision;

5) making proposals for improving the conduct of state control and supervision;

6) implementation of other functions stipulated by this Code and other Laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 87 as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 88. Competence of the antimonopoly authority in state regulation of entrepreneurship

Footnote. Chapter 19 is excluded by the Law of the Republic of Kazakhstan dated 28.12.2016 No. 34-VI (shall be enforced from 01.01.2017).

Article 89. Competence of other state bodies in state regulation of entrepreneurship

State bodies within their competence in state regulation of entrepreneurship:

1) participate in the formation and implementation of state policy in state regulation of entrepreneurship;

2) exercise other powers provided for by this Code, other laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Article 90. Competence of local executive bodies in state regulation of entrepreneurship

Local executive bodies of the Republic of Kazakhstan carry out:

1) within its competence, the approval of the maximum permissible retail prices for socially significant food products;

2) permitting procedures, gaining notifications in accordance with the legislation of the Republic of Kazakhstan on permits and notifications;

2-1) conducting an alternative analysis of regulatory impact;

2-2) submission to the authorized body for business reports on the status of work on the analysis of regulatory impact;

2-3) organization and holding of the Unified report day;

2-4) Excluded by the Law of the Republic of Kazakhstan dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication);
2-5) Excluded by the Law of the Republic of Kazakhstan dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication);

3) in the interests of local government, other powers imposed on local executive bodies by the legislation of the Republic of Kazakhstan.

Footnote. Article 90 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication); dated 30.12. 2020 No. 397-VI (shall be enforced upon expiry of six months after the date of its first official publication); dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication).

Chapter 7-1. Antimonopoly authority and its powers

Footnote. The Code is supplemented by Chapter 7-1 in accordance with the Law of the Republic of Kazakhstan dated 28.12.2016 No. 34-VІ (the order of enforcement, see Art. 2).

Article 90-1. Antimonopoly authority system

1. The unified system of the competition authority shall consist of a public authority and its subordinate territorial units.

2. The territorial sub-divisions shall exercise their activities within the limits of the powers established by the legislation of the Republic of Kazakhstan and the regulations approved by the central public authority.

Footnote. Article 90-1 as amended by Law of the RK No. 101-VII of 03.01.2022 (shall go into effect upon expiry of sixty calendar days after its first official publication).

Article 90-2. Objectives of the antimonopoly authority

The objectives of the antimonopoly authority are:

1) promoting the development of fair competition;

2) prevention, detection and investigation, suppression of violations of the legislation of the Republic of Kazakhstan in protection of competition;

3) regulation of economic concentration;

4) demonopolization of market entities that restrict competition.

Footnote. Article 90-2 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication).

Article 90-3. Governance of the competition authority

The competition authority shall be governed by its first head.

Footnote. Article 90-3 - as reworded by Law of the RK No. 101-VII of 03.01.2022 (shall be enacted upon expiry of sixty calendar days after its first official publication).

Article 90-4. Interaction of the antimonopoly authority with the antimonopoly authorities of other states

1. Within the framework of the Eurasian Economic Union, the antimonopoly authority interacts with the antimonopoly authorities of the member states of the Eurasian Economic Union in accordance with international treaties, including by sending notifications, requests for information, consulting, informing about investigations in accordance with the procedure established by the legislation of the Republic of Kazakhstan.

2. Within the framework of participation in international organizations, the antimonopoly authority has the right to send requests to the antimonopoly authorities of other states and provide information upon their requests.

Article 90-5. The interaction of antimonopoly and law enforcement agencies

1. The antimonopoly authority shall interact with the law enforcement authorities of the Republic of Kazakhstan within its authority in the following forms:

1) informs the law enforcement authorities on the revealed facts of offenses in protection of competition;

2) upon request of law enforcement agencies, provides analytical information on the state of competition in commodity markets;

3) within its competence, conducts, upon request of law enforcement bodies, expert examinations and gives opinions on the legislation of the Republic of Kazakhstan in competition protection;

4) according to resolutions and requests of law enforcement agencies, their territorial subdivisions, as experts, send their employees to participate in legal proceedings and measures to investigate violations of the legislation of the Republic of Kazakhstan in competition protection.

2. Law enforcement authorities of the Republic of Kazakhstan shall interact with the antimonopoly authority within their powers in the following forms:

1) inform the antimonopoly authority of the identified violations of the legislation of the Republic of Kazakhstan in protection of competition;

2) upon requests and appeals of the antimonopoly authority:

send employees to conduct joint activities to investigate violations of the legislation of the Republic of Kazakhstan in protection of competition, as well as to prevent unlawful actions that impede the performance of official obligations by employees of the antimonopoly body;

take measures to establish the locations of violators of the legislation of the Republic of Kazakhstan in protection of competition and their delivery to the antimonopoly body for bringing to administrative responsibility in accordance with the written requests of the antimonopoly body in the manner established by the Code of Administrative Offenses of the Republic of Kazakhstan;

in accordance with the procedure established by the Criminal Procedure Code of the Republic of Kazakhstan, make decisions on conducting a pre-trial investigation on materials submitted by the antimonopoly authority with signs of criminal anticompetitive actions, which the antimonopoly authority is informed of;

provide practical assistance to the antimonopoly authority in detecting and securing evidence of violations of the legislation of the Republic of Kazakhstan in competition protection.

Article 90-6. Competence of the antimonopoly authority

Antimonopoly authority:

1) executes the implementation of state policy in protection of competition and restriction of monopolistic activities;

2) carries out inter-sectoral coordination of state bodies and other organizations in competition protection and restriction of monopolistic activities;

3) carries out international cooperation on the protection of competition and the restriction of monopolistic activities;

4) exercises state control over compliance with the legislation of the Republic of Kazakhstan in protection of competition;

5) suppresses acts, actions (inaction) of state and local executive bodies, organizations endowed with state functions of regulating the activities of market entities, aimed at restricting and (or) eliminating competition;

6) is excluded by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication);

6-1) considers applications for consent for economic concentration;

7) warns and eliminates abuses of the dominant or monopolistic position in the relevant product market, with the exception of violations stipulated by the legislation of the Republic of Kazakhstan on natural monopolies;

7-1) develops and approves the rules for provision of compulsory services by natural monopoly entities and the quasipublic sector under protection of competition and restriction of monopolistic activities;

8) prevents and suppresses anticompetitive agreements and concerted actions of market entities, unfair competition;

9) coordinates regulatory legal acts in competition protection, restrictions on monopolistic activities and the functioning of commodity markets;

10) disseminates information on the application of the norms of the legislation of the Republic of Kazakhstan in protection of competition and promotion of fair competition;

11) analyzes the state of competition in commodity markets;

12) carries out the analysis and monitoring of the activities of market entities that hold a dominant or monopolistic position in the relevant product market;

13) Excluded by Law of the RK No. 101-VII of 03.01.2022 (shall come into force sixty calendar days after the date of its first official publication).

14) develops and approves a methodology for analyzing socially significant markets;

15) develops and approves methods for conducting a survey of commodity markets in which state-owned enterprises and legal entities will be created, where more than fifty percent of shares (shares in the authorized capital) owned by the state, and legal entities affiliated with them and (or) carried out by them activities in relation to state enterprises and legal entities, where more than fifty percent of the shares (shares in the authorized capital) owned by the National Bank of the Republic of Kazakhstan, and legal entities affiliated with them - in coordination with the National Bank of the Republic of Kazakhstan;

16) develops and approves a methodology for assessing the economic concentration in commodity markets;

17) develops and approves a methodology for assessing economic concentration in financial markets in agreement with the authorized body for regulation, control and supervision of the financial market and financial organizations;

18) reveals a monopoly high (low), monopsony low price set by a dominant or monopolistic market entity;

19) approves methods for identifying monopoly high (low) and monopsony low prices;

20) conducts investigations into the facts of violation of the legislation of the Republic of Kazakhstan in protection of competition by market entities, state, local executive bodies, organizations, which are vested with the state functions of regulating the activities of market entities, in the manner established by this Code;

20-1) develops and approves regulations for monitoring the activities of state-owned enterprises, legal entities with over fifty per cent of shares (participating interests in the authorised capital) owned by the state, and their affiliated entities with regard to obtaining the consent of the antimonopoly authority when establishing, expanding and (or) changing the conducted activities, as well as conducting only those activities subject to the consent of the antimonopoly authority.

20-2) monitors the activities of state-owned enterprises, legal entities more than fifty per cent of whose shares (equity interests) are owned by the state, and their affiliates for the consent of the anti-monopoly authority when establishing, expanding and (or) changing their activities, and when carrying out only those activities for which the consent of the anti-monopoly authority has been obtained;

21) requests and receives, in accordance with the procedure established by the laws of the Republic of Kazakhstan, from state bodies, including the authorized body in state statistics, state revenue bodies, market subjects, as well as officials and other individuals and legal entities, information necessary for the exercise of authority, provided for by this Code, including information constituting commercial and other secrets protected by law, with the exception of bank secrets, insurance secrets and trade secrets in the market securities;

22) issues to the market entities binding instructions on:

stopping violations of the norms of this Code and (or) eliminating their consequences;

restoration of the original position;

termination or amendment of contracts contrary to this Code;

the need to cancel transactions by canceling or invalidating them when regulating economic concentration;

entering into an agreement with another market entity in the event that the violation is an unreasonable refusal or evasion of concluding an agreement with certain sellers (suppliers) or buyers;

23) makes to the state, local executive bodies, organizations vested with the state functions of regulating the activities of market entities, binding instructions to repeal or amend the acts adopted by them, eliminate violations, as well as cancellation, cancellation or amendment of agreements and transactions concluded by them, and the performance of actions aimed at ensuring competition;

24) considers cases on administrative offenses and imposes administrative penalties in the manner established by the Code of the Republic of Kazakhstan on Administrative Offenses, participates in a court to hear cases on violations of the legislation of the Republic of Kazakhstan in competition protection;

25) sends to law enforcement agencies materials for conducting a pre-trial investigation on the grounds of criminal offenses related to violation of the legislation of the Republic of Kazakhstan in protection of competition;

26) annually, not later than June 1, sends to the President of the Republic of Kazakhstan and the Prime Minister of the Republic of Kazakhstan an annual report on the state of competition in certain commodity markets and measures taken to limit monopolistic activities, and also places it on its Internet resource;

27) annually, by January 5 of the year following the reporting year, submits to the Government of the Republic of Kazakhstan proposals on the transfer to the competitive environment of state enterprises, legal entities, more than fifty percent of shares (stakes in the charter capital) of which are owned by the state, and legal entities affiliated therewith, as well as proposals to update the list of activities undertaken by state-owned enterprises, legal entities with over fifty per cent of shares (participating interests in the charter capital) owned by the state, and legal entities affiliated therewith;

28) provides informational openness of the state policy in protection of competition and restriction of monopolistic activities, including quarterly not later than the fifteenth day of the month following the reporting period, places information about its activities in the media, including on its Internet resource;

29) examines the prices of goods produced and (or) sold by a state monopoly entity, a special right;

30) in the manner prescribed by the legislation of the Republic of Kazakhstan, shall apply to law enforcement agencies to conduct operational search activities;

31) sends to the official of the market entity, the state, local executive body, the organization vested with the state functions of regulating the activities of market entities, a written warning about the inadmissibility of an action (inaction) that may lead to violation of the legislation of the Republic of Kazakhstan in competition protection;

32) places on its Internet resource an analysis of the state of competition in commodity markets, with the exception of information containing state secrets and other secrets protected by law;

33) sends to market entities, state, local executive bodies, organizations vested with state regulatory functions of market entities, notification of the presence in the actions (inaction) of the market entity, state, local executive body, organization endowed with state regulatory functions of market entities, signs violations of the legislation of the Republic of Kazakhstan in protection of competition;

34) gives an official explanation of the regulatory legal acts in protection of competition, adopted by the antimonopoly authority;

35) develops and approves the rules for reviewing draft agreements of market entities for compliance or non-compliance with the requirements of the legislation of the Republic of Kazakhstan in competition protection;

36) develops and approves standard external acts of antimonopoly compliance for market entities;

37) establishes the compliance of the external act of antimonopoly compliance sent by the market entity (market entities) with the norms of the legislation of the Republic of Kazakhstan in the field of competition protection;

38) places on its Internet resource information on the results of investigations of violations of the legislation of the Republic of Kazakhstan in competition protection, decisions of the antimonopoly authority;

39) submits claims to the court for termination, amendment of contracts and (or) invalidation of transactions contrary to this Code;

39-1) Excluded by Law of the RK No. 101-VII of 03.01.2022 (shall come into force sixty calendar days after the date of its first official publication).

39-2) elaborates and adopts procedures for monitoring prices on commodity markets in order to establish indications of violation of the legislation of the Republic of Kazakhstan in the field of competition protection;

39-3) monitors prices on commodity markets to detect indications of breaches of the legislation of the Republic of Kazakhstan on protection of competition;

39-4) monitors the activities of the providers of state support measures for compliance with the requirements stipulated in Article 194 of this Code, excluding the activities of public authorities and legal entities to implement a set of anti-crisis measures to support the economy and stimulate business activity and employment, initiated by the order of the President of the Republic of Kazakhstan;

39-5) in accordance with the procedure established by the legislation of the Republic of Kazakhstan, approves the business plan for the republican public-private partnership project, the investment offer of the republican state investment project, the tender (auction) documentation of the republican public-private partnership project, including when making amendments and (or) additions to them in the part related to the protection of competition and restriction of monopolistic activity, on projects providing for the implementation of state functions by private partners;

40) exercises other powers provided for by this Code, other laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 90-6 as amended by the Law of the Republic of Kazakhstan No. 156-VI dated 24.05.2018 (order of enforcement see Article 2); No. 262-VI dated 03.07.2019 (shall be enforced since 01.01.2020); No. 268-VI dated October 28, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); dated 29. 06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 101-VII of 03.01.2022 (shall go into effect sixty calendar days after the date of its first official publication); dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 90-7. Rights of the antimonopoly authority

In the performance of their official duties, including consideration of applications for violation of the legislation of the Republic of Kazakhstan in the field of competition protection, investigation of cases of violation of the legislation of the Republic of Kazakhstan in the field of competition protection, regulation of economic concentration and determination of the state of the level of competition, in accordance with their assigned powers upon presentation of their service certificates or identification cards and the decision of the antimonopoly body to investigate violations of the legislation of the Republic of Kazakhstan in the field of competition protection, employees of the antimonopoly body shall have the right:

1) to obtain unhindered access to the premises and the territory of state bodies and market entities in compliance with the requirements of the legislation of the Republic of Kazakhstan;

2) to request and receive written information within the time limit set by the anti-monopoly authority, which may not be less than five working days, from state and local executive bodies, market participants, officials and other individuals and legal entities, as well as written and/or oral explanations on the facts of breaches of the legislation of the Republic of Kazakhstan in the field of competition protection.

Where additional time is required, the persons referred to in part one of this sub-paragraph may apply to the competition authority with a reasoned request to extend the deadline for providing information on request.

The decision to extend the deadline for providing information on a request or to refuse an extension shall be taken within two working days of receipt of a reasoned application;

3) to exercise other powers established by the legislation of the Republic of Kazakhstan.

Footnote. Article 90-7 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication); No. 273-VI dated November 26, 2019 (shall be enforced upon the expiration of six months after the day of its first official publication); No. 101-VII of 03.01.2022 (shall come into force sixty calendar days after the date of its first official publication).

Article 90-8. Ensuring compliance with commercial, official and other secrets protected by law

1. Information constituting a commercial, official or other secret protected by law obtained by the anti-monopoly authority in the exercise of its powers shall not be disclosed, except for cases established by the laws of the Republic of Kazakhstan.

2. For disclosure of information constituting a commercial, official or other secret protected by law, employees of the antimonopoly authority shall be responsible, as established by the laws of the Republic of Kazakhstan.

3. Harm caused to an individual or legal entity as a result of disclosure by the antimonopoly authority or its officials of information constituting commercial, official and other secrets protected by law shall be reimbursed in accordance with the civil legislation of the Republic of Kazakhstan.

Chapter 8. STATE SUPPORT OF PRIVATE ENTREPRENEURSHIP

Article 91. The concept of state support of private entrepreneurship

The state support of private entrepreneurship is understood as a complex of state measures to stimulate the development of private entrepreneurship, the creation of favorable legal and economic conditions for the implementation of entrepreneurial initiatives in the Republic of Kazakhstan.

Article 92. The main directions of state support for private entrepreneurship

1. State support for private entrepreneurship is carried out in the following main directions:

1) small and medium-sized entrepreneurship, including social entrepreneurship;

2) agro-industrial complex and non-agricultural types of entrepreneurial activities in rural areas;

3) government incentives for industry;

3-1) innovative activities;

4) special economic zones;

4-1) industrial areas;

5) investment activities;

6) entrepreneurship of domestic manufacturers of goods;

6-1) activities of private business entities in the field of creative industries;

7) housing;

8) waste management;

9) tourism activities.

2. State support for private entrepreneurship may also be carried out in other directions in cases established by the legislation of the Republic of Kazakhstan.

Footnote. Article 92 as amended by the Law of the Republic of Kazakhstan dated 28.12.2016 No. 34-VI (shall be enforced from 01.01.2017); No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); dated 24. 06. 2021 No. 52-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 02.01.2021 No. 401-VI (shall be enforced from 01.07.2021); dated 30.04.2021 No. 34-VII (shall be enforced from 01.01.2022); No. 87-VII of 27.12.2021 (shall be enforced ten calendar days after the date of its first official publication); dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 93. General types of state support for private entrepreneurship

1. State support for private entrepreneurship includes the following general types:

1) financial and property support;

2) infrastructure support;

3) institutional support, consisting in the creation and development of financial institutions for the support and development of private entrepreneurship, research institutes under state bodies for studying problems and developing proposals for the development of private entrepreneurship;

4) information support, which consists in information-analytical, educational and methodological, scientific and methodological support of private entrepreneurship.

2. State support for private entrepreneurship provides for other types of state support for private entrepreneurship established by this Code and the legislation of the Republic of Kazakhstan.

Footnote. Article 93 as amended by the Law of the Republic of Kazakhstan dated 04.07.2018 No. 174-VІ (shall be enforced upon the expiry of ten calendar days after the date of its first official publication).

Article 94. Financial and property support for private entrepreneurship

1. Financial and property support for private entrepreneurship is carried out by:

1) purchase of a guaranteed volume of goods (works, services);

2) provision of loans at the expense of budget funds;

3) credit organizations through second-tier banks, national development institutions and other legal entities in accordance with the legislation of the Republic of Kazakhstan;

4) issuance of state grants for the organization and implementation of socially significant projects in sectors of the economy;

5) subsidizing interest rates on loans issued and leasing transactions made by second-tier banks, the Development Bank of Kazakhstan and other legal entities engaged in leasing activities, private entrepreneurs;

5-1) subsidizing interest rates on loans issued by second-tier banks to private business entities for housing construction in the manner determined by the authorized body for architecture, urban planning and construction;

5-2) subsidizing the interest rate on loans issued to private business entities by second-tier banks for the purposes of implementing "green" projects;

6) subsidizing interest rates on microloans issued by microfinance organizations to private entrepreneurs;

6-1) subsidizing the rate of coupon interest on bonds issued by private business entities in accordance with the legislation of the Republic of Kazakhstan and included in the list of the stock exchange operating in the Republic of Kazakhstan;

6-2) subsidizing the coupon interest rate on "green" bonds, including those issued in accordance with the acts of the Astana International Financial Center and included in the list of the Astana International Financial Center Exchange;

7) reimbursement and (or) subsidization of expenses and (or) costs;

8) partial guaranteeing of loans from private entrepreneurships;

9) leasing;

10) provision of other measures of financial and property support to private entrepreneurship established by this Code and the legislation of the Republic of Kazakhstan.

2. The procedure, forms of state financial support, the industry (industries) of the economy in which private business entities subject to state financial support operate, the legal entity (entities) attracted (involved) to provide state financial support, the amount of financial support and other conditions necessary for provision of state financial support, are approved by the authorized bodies of the relevant industries in coordination with the authorized body for entrepreneurship.

Footnote. Article 94 as amended by the Law of the Republic of Kazakhstan dated 28.12.2016 No. 34-VI (shall be enforced from 01.01.2017); of 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after its first official publication); dated 02.01.2021 No. 401-VI (shall be enforced from 01.07. 2021); dated 12.07.2022 No. 138-VII (shall be enforced sixty calendar days after the date of its first official publication); dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 95. Special fund for private entrepreneurship development

1. Financial support from the state for initiatives of private business entities is provided for by a special entrepreneurship development fund created by a decision of the Government of the Republic of Kazakhstan, the controlling stake of which belongs to the national managing holding (hereinafter referred to as a "special fund").

The main goal of the special fund is to promote the quality development of private entrepreneurship in the Republic of Kazakhstan through the provision of financial and non-financial support for private entrepreneurship.

The main objectives of the special fund are:

1) development of microfinance organizations;

2) creation of a system of guaranteeing private business entities when they receive loans from second-tier banks and other legal entities;

3) development of financial leasing;

4) training and consulting on the implementation of private entrepreneurship, including financial and property support for private entrepreneurship;

5) informational and analytical support on issues of private entrepreneurship;

6) financing of private business entities through conditional placement of funds in second-tier banks and other legal entities, as well as by other means expressly provided for by the legislation of the Republic of Kazakhstan;

7) subsidizing interest rates on loans issued and leasing transactions made by second-tier banks, the Development Bank of Kazakhstan and other legal entities engaged in leasing activities, private entrepreneurs;

7-1) subsidizing the rate of coupon interest on bonds issued by private business entities in accordance with the legislation of the Republic of Kazakhstan and included in the list of the stock exchange operating in the Republic of Kazakhstan;

8) promotion of private entrepreneurship ideas;

9) monitoring the implementation of programs to support private entrepreneurs;

10) other objectives in accordance with the statute of the special fund.

2. The procedure and conditions for the implementation of the objectives of the special fund are determined by the national managing holding.

Footnote. Article 95 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication).

Article 96. Informational support for private entrepreneurship

1. Informational support of private entrepreneurship is carried out in order to improve the professional level of private business entities and their employees, allowing them to produce competitive goods (works, services).

2. Informational support is carried out by the following means:

1) organizing training seminars and scientific conferences for the development of private entrepreneurship;

2) the organization of foreign internships;

3) the distribution of teaching aids, information bulletins on the practice of private entrepreneurship, the market for new technologies;

4) creation of a network of information and consulting centers in the regions;

5) provision of consulting, informational, legal, marketing, and other services;

6) facilitating the transfer of advanced foreign technologies;

7) service informational support in the promotion of domestic goods (works, services) for export;

8) training managers to organize training for small-sized business entitieship in the regions.

3. Informational support for private business entities is carried out at the expense of budget funds and other sources not prohibited by the legislation of the Republic of Kazakhstan.

4. The authorized body on entrepreneurship in order to provide informationa; support to private entrepreneurship on its Internet resource places the following information:

1) on state and other programs aimed at supporting private business entities and their implementation;

2) on the number of private business entities with a classification by kinds of economic activities;

3) on organizations forming the infrastructure to support private entrepreneurs, the conditions and procedure for providing support to private business entities by such organizations;

4) on measures of financial support for private entrepreneurs;

5) on results of the analysis of the business environment, investment climate and infrastructure for the development of private entrepreneurship;

6) on advisory documents of regulatory policy, draft regulatory legal acts aimed at providing support for the development of private entrepreneurship;

7) other information necessary for the development of private business entities provided for by this Code, the laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 96 as amended by the Law of the Republic of Kazakhstan dated 05.11.2022 No. 157-VII (shall be enforced from 01.01.2023).

Article 97. Infrastructure support for private entrepreneurship

Infrastructure support for private entrepreneurship is provided for through the creation and development of an infrastructure to support private entrepreneurship, which refers to a complex of established or existing organizations that provide general conditions for the operation and development of private entrepreneurship, including assistance in organizing their own business, providing information in law, marketing, engineering and management, support in providing logistical, financial and other resources to commercial basis.

Private business support infrastructure shall include business support centres, business incubators and elements of industrial-innovation infrastructure envisaged by the Law of the Republic of Kazakhstan “On Industrial Policy”.

Footnote. Article 97 as amended by the Law of the Republic of Kazakhstan dated 04.07.2018 No. 174-VІ (shall be enforced upon the expiry of ten calendar days after its first official publication); as amended by No. 87-VII of 27.12.2021 (shall come into force ten calendar days after the date of its first official publication).

Article 98. Competence of the Government of the Republic of Kazakhstan in state support and development of private entrepreneurship

1. Government of the Republic of Kazakhstan:

In state support and development of private entrepreneurship:

1) develops the main directions of state policy in support and development of private entrepreneurship;

2) forms the state system of support for private entrepreneurship;

3) determines the procedure for rendering state support for private entrepreneurship;

4) forms and abolishes consultative and advisory bodies under the Government on issues of private entrepreneurship;

5) excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication);
6) is excluded by the Law of the Republic of Kazakhstan No. 202-VI dated 26.12.2018 (shall be enforced from 01.01.2019);
7) excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication);

8) determines and implements the state policy that stimulates the creation and improvement of competitive industries, the development of private entrepreneurship and the improvement of the quality of their products;

9) develops regulatory legal acts promoting the development of competition and stimulation of investments in innovations, tangible assets, as well as long-term investments;

10) stimulates the creation of clusters in individual sectors of the economy;

11) excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication);

12) creates national development institutions in order to increase investment and accelerate the introduction of innovations into the economy of the Republic of Kazakhstan;

13) carries out temporary protection of individual sectors of customs-tariff and non-tariff methods with the creation of conditions for the development of competition between private business entities in these sectors;

14) takes measures to eliminate barriers established by another country in relation to national exporters;

15) encourages private business entities to conduct a coherent export policy;

16) excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication);

17) creates conditions for improving the competitiveness of national products by encouraging the implementation of quality management systems;

18) creates conditions for external demand by lobbying the interests of national exporters in other countries;

19) interacts with the National Chamber and associations of private business entities and employers;

20) creates research organizations, funds fundamental and applied research to solve problems of the industry or clusters;

21) develops measures to involve socially vulnerable groups of the population in private entrepreneurship;

22) excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication);
23) excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

In the field of state support for innovation and state incentives for industry:

1) develops the principal directions of state policy in the area of state support for innovation activities;

2) develops the principal lines of state technology policy and organises its implementation;

3) determines the national institution for development in the field of innovative development and the list of other legal entities, fifty percent or more of the voting shares (stakes in the authorised capital) thereof are directly or indirectly owned by the state, authorised to implement state support measures for innovation activities, in line with the legislation of the Republic of Kazakhstan;

4) establishes a Technology Policy Council under the Government of the Republic of Kazakhstan and approve its statute and composition;

5) adopts normative legal acts providing for the implementation of measures of state support for innovation activities, their cancellation, as well as the procedure for their application, to ensure the stability and sustainability of national economic development, including its industrial-innovation component;

6) implements state incentive measures for industry in compliance with the Law of the Republic of Kazakhstan “On Industrial Policy”.

2. Excluded by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).
Footnote. Article 98 as amended by the Law of the Republic of Kazakhstan dated 03.07.2017 No. 86-VI (shall be enforced upon the expiry of ten calendar days after its first official publication); dated 24.05.2018 No. 156-VI (shall be entered into force upon the expiry of ten calendar days after the day of its first official publication); No. 202-VI dated 26.12.2018 (shall be enforced from 01.01.2019); dated 25.06.2020 No. 347-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 87-VII of 27.12.2021 (shall be enforced ten calendar days after the date of its first official publication).

Article 99. Competence of the authorized body on entrepreneurship in state support and development of private entrepreneurship

Entrepreneurial authority:

1) forms and implements the state policy on the development and state support of private entrepreneurship;

2) organizes and coordinates the implementation of state measures to support small-sized and medium-sized business entities;

2-1) approves the rules for providing small and medium-sized businesses with property lease (lease) or trust management of unused state-owned objects and land plots occupied by them for organization of production activities and development of services to the population with subsequent gratuitous transfer to ownership;

2-2) organizes the consideration by expert councils of draft regulatory legal acts developed by central state, local representative and executive bodies, draft international treaties of the Republic of Kazakhstan, as well as international treaties to which the Republic of Kazakhstan intends to become a party, affecting the interests of private business entities;

2-3) analyzes the functioning of economic sectors in order to eliminate obstacles to the development of private business entities;

2-4) organizes the provision of economic information on the state of domestic and foreign markets to private business entities;

2-5) approves the rules for accreditation of associations of private business entities;

3) develops proposals for improving measures for financing and lending to private entrepreneurship entities;

4) analyzes the business environment, investment climate and infrastructure for the development of private entrepreneurship;

5) develops regulatory legal acts providing support and development of private entrepreneurship;

6) contributes to the formation and development of infrastructure of small-sized and medium-sized business entities in the regions of the republic;

7) creates conditions for the participation of small-sized and medium-sized business entities in the implementation of documents of the State Planning System of the Republic of Kazakhstan in innovation, investment and industrial development;

8) creates conditions for investors, international organizations, grantors in the support and development of private entrepreneurship;

9) organizes methodological assistance to private entrepreneurs;

10) creates conditions for the entry of private entrepreneurship into international markets of goods, works, services;

11) carries out international cooperation in private entrepreneurship development;

2) promotes public policy for the development and support of private entrepreneurship;

13) exercise other powers provided for by this Code, the laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 99 as amended by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 100. Competent authority in the field of state incentives for industry and its competence in the area of state support for private enterprise

The competent authority in the area of state incentives for industry shall provide state incentives for industry in obedience to the Law of the Republic of Kazakhstan “On Industrial Policy”.

Footnote. Article 100 - as reworded by Law of the RK No. 87-VII of 27.12.2021 (shall be enacted ten calendar days after its first official publication).

Article 100-1. Authorized body in the field of state support for innovation activity and its competence in the field of state support of private entrepreneurship

1. The competent authority in the area of state support for innovation activity shall be the central executive body responsible for guidance in the area of innovation and technological development, as well as, within the limits stipulated by the legislation of the Republic of Kazakhstan, inter-sectoral coordination and participation in the implementation of state support for innovation activity.

2. The authorized body in the field of state support for innovation activity shall:

1) forms and implements the state policy in the field of state support of innovation activity;

1-1) forms and implements the state technological policy;

2) determine the priority areas for the provision of innovative grants;

3) agrees to development plans of national management holding companies, national holdings and national companies, development plans and action plans of legal entities, fifty percent or more of the voting shares (stakes in charter capital) thereof belonging to the state, affiliated legal entities, national management holding companies (excluding the National Welfare Fund), national holdings, national companies (excluding national companies belonging to the National Welfare Fund group) and affiliated legal entities with regard to technology development and innovation;

3-1) approves documents of the State Planning System in the Republic of Kazakhstan in terms of innovation and technological development;

4) develops regulations for the Technology Policy Council under the Government of the Republic of Kazakhstan and submits proposals to the Government of the Republic of Kazakhstan on the establishment of its membership;

4-1) elaborates and approves the methodology and criteria for technology forecasting, the functioning of sectoral technology competence centres, the organisation of technology platforms and the development of targeted technology programmes;

5) develop and approve the rules for the provision of innovative grants for technologies commercialization;

6) develop and approve the rules for the provision of innovative grants for the technological development of industries;

7) develop and approve the rules for the provision of innovative grants for the technological development of existing enterprises;

8) Excluded by Law of the RK No. 87-VII of 27.12.2021 (shall be enacted ten calendar days after the date of its first official publication).

9) develops and adopts regulations for the payment of the services of the national innovation development institution in the awarding of innovation grants;

9-1) develops and adopts regulations for business incubation support services;

9-2) develops and approves the methodology for determining the criteria for project innovativeness;

9-3) engages in shaping public policy on digital transformation and implementation of Industry 4.0;

10) ensure and bear responsibility for the implementation and execution of state programs within the competence;

11) exercise other powers provided for by this Code, laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Chapter 8 is supplemented by Article 100-1 in accordance with the Law of the Republic of Kazakhstan dated 25.06.2020 No. 347-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); as amended by Law of the RK No. 87-VII of 27.12.2021 (shall go into effect ten calendar days after the date of its first official publication); No. 95-VII of 30.12.2021 (shall come into force ten calendar days after the date of its first official publication); dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 101. The central authorized body on the state planning and its competence in state support for private entrepreneurship

1. The central authorized body on the state planning is the central executive body that exercises leadership and inter-sectoral coordination in strategic and economic planning, development and formation of budget policy, as well as the formation and implementation of state policy in regional development.

2. The central authorized state planning body:

1) participates in formation and implementation of state policy in the field of state support of innovative activity and state stimulation of industry

2) makes proposals to the Government of the Republic of Kazakhstan on the determination of priority sectors of the economy;

3) coordinates provision with qualified human resources and regulation of employment in the field of industrial and innovative activities;

4) evaluates the effectiveness of the industrial innovation system;

5) coordinates the development plans of national management holdings, national holdings and national companies, development plans and action plans of legal entities, fifty percent or more of the voting shares (participation shares in the authorized capital) of which belong to the state, legal entities affiliated with them, national management holdings (with the exception of the National Welfare Fund), national holdings, national companies (with the exception of national companies belonging to the National Welfare Fund group) and legal entities affiliated with them;

6) exercises other powers provided for by this Code, the laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 101 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication); dated 27.12.2021 No. 87-VII (shall be enforced ten calendar days after the date of its first official publication); dated 30.12.2021 No. 95-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 102. Authorized body in regulation of foreign trade activities and its competence in state support for private entrepreneurship

1. The authorized body in the field of regulation of foreign trade activity shall be the central executive body that carries out management in the field of development and promotion of exports of non-primary goods and services, as well as, within the limits provided for by the legislation of the Republic of Kazakhstan, intersectoral coordination in the field of regulation of foreign trade activity.

2. The authorized body in the field of regulation of foreign trade activity shall:

1) interact with the body conducting investigation on the issues of special protective, anti-dumping and countervailing measures;

2) submit proposals on initiating investigations prior to the application of special protective, anti-dumping and countervailing measures to the body conducting investigations;

3) coordinate the work of state bodies of the Republic of Kazakhstan on the issues of special protective, anti-dumping and countervailing measures;

4) form and coordinate proposals on the issues of special protective, anti-dumping and countervailing measures with the interested state bodies of the Republic of Kazakhstan;

5) develop regulatory legal acts on the issues of special protective, anti-dumping and countervailing measures;

6) interact with official bodies of other countries and international organizations;

7) excluded by Law of the RK No. 87-VII of 27.12.2021 (shall be enacted ten calendar days after the date of its first official publication).
8) excluded by Law of the RK No. 87-VII of 27.12.2021 (shall be enforced ten calendar days after the date of its first official publication).
9) excluded by Law of the RK No. 87-VII of 27.12.2021 (shall come into force ten calendar days after the date of its first official publication).
10) excluded by Law of the RK No. 87-VII of 27.12.2021 (shall go into effect ten calendar days after the date of its first official publication).
11) excluded by Law of the RK No. 87-VII of 27.12.2021 (shall take effect ten calendar days after the date of its first official publication).

12) develop and approve, within its competence, the measures on promotion of export, taking into account the international obligations of the Republic of Kazakhstan;

13) exercise other powers provided for by the laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 102 as amended by the Law of the Republic of Kazakhstan No. 241-VI dated 02.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); dated 25.06.2020 No. 347-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 87-VII of 27.12.2021 (shall be enacted ten calendar days after the date of its first official publication).

Article 103. Competence of public authorities and local executive bodies in the area of state support for innovation activities

Within their competence in the area of state support for innovation activities, public authorities and local executive bodies shall:

1) take part in the formation and implementation of state policy in the area of state support for innovation activities;

2) participate in the formation and implementation of the national technology policy;

3) submit proposals for the identification of technology competence centres, targeted technology programmes and the organisation of technology platforms in the areas they supervise for consideration by the Technology Policy Council;

4) provide information to the competent authority for state support for innovation activities on the implementation of state support for innovation activities, as well as on the achievement of innovation development indicators;

5) propose to the competent authority for state support for innovation activities the identification of priority areas for the provision of innovation grants;

6) enforce the documents of the State Planning System in the Republic of Kazakhstan;

7) exercise other powers stipulated by this Code, the laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 103 as reworded by Law of the RK No. 87-VII of 27.12.2021 (shall come into force ten calendar days after the date of its first official publication).

Article 104. Competence of other state bodies in state support for private entrepreneurship

State bodies, within their competence, in state support of private entrepreneurship:

1) participate in the formation and implementation of state policy in state support for private entrepreneurship;

2) exercise other powers provided for by this Code, other laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Article 105. Competence of local executive bodies in state support and development of private entrepreneurship

1. Local executive bodies of the Republic of Kazakhstan:

1) implement the state policy of support and development of private entrepreneurship;

2) create conditions for the development of private entrepreneurship;

2-1) conduct an analysis of the business environment, investment climate and infrastructure for the development of private entrepreneurship;

3) ensure and bear responsibility for the implementation and execution of state programs in the regions;

4) ensure the creation and development in the region of infrastructure facilities to support small-sized and medium-sized business entities and innovation activities;

5) determine the strategy for the development of relations between local executive bodies and associations of private entrepreneurs, the National Chamber and market infrastructure facilities;

6) organize the activities of expert councils;

7) provide state support for private entrepreneurship at the local level;

8) organize education, training, retraining and advanced training of specialists and personnel for small-sized and medium-sized business entities;

8-1) carry out, within their competence, the promotion of non-oil exports;

8-2) create conditions, within their competence, for the development of non-resource export;

8-3) carry out the development of national and territorial clusters;

9) carry out in the interests of local government other powers assigned to local executive bodies by the legislation of the Republic of Kazakhstan.

2. Excluded by Law of the RK No. 87-VII of 27.12.2021 (shall be enacted ten calendar days after the date of its first official publication).
Footnote. Article 105 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication); No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); dated 25.06. 2020 No. 347-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 87-VII of 27.12.2021 (shall be enforced ten calendar days after the date of its first official publication); dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

SECTION 3. FORMS AND MEANS OF GOVERNMENTAL REGULATION OF ENTREPRENEURSHIP Chapter 9. PERMITS AND NOTIFICATIONS

Article 106. State regulation in permits and notifications

State regulation in permits and notifications consists in the introduction of a permitting or notification procedure for business entities to carry out certain types of activities or actions in accordance with this Code and the Law of the Republic of Kazakhstan on Permits and Notifications.

Article 107. Hazard levels of a regulated activities or actions (operations)

1. The permissive or notification procedure is introduced depending on the level of danger facing the implementation of the activities or actions (operations) and is divided into the following levels:

1) permits of the first category - licenses that are entered in relation to the types (subtypes) of the activities or actions (operations) associated with a high level of danger;

2) permissions of the second category - all permits that are not licenses entered in relation to the types (subtypes) of the activities or actions (operations) associated with the average level of danger;

3) notifications are implemented regarding the kinds of activities or actions associated with a low level of danger, but requiring the receipt of information on the commencement or termination of such activities or such actions by state bodies.

2. The hazard levels of the activities or actions (operations) are established on the basis of the analysis of the regulatory impact conducted in accordance with Article 83 of this Code.

Footnote. Article 107 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication).

Article 108. Permitting and notification procedure

1. To start and subsequently carry out certain types of activities or actions (operations), business entities must have a valid permit or send a notification to the state authorities that receive notifications in the manner prescribed by the Law of the Republic of Kazakhstan "On Permits and Notifications".

An entrepreneur that has a license is recognized as a licensee.

A entrepreneur that has a valid permission of the second category is the owner of the permission of the second category.

2. The implementation by business entities of activities or actions (operations) for which the Law of the Republic of Kazakhstan "On Permits and Notifications" establishes an authorization or notification procedure without obtaining a relevant permit or without sending a corresponding notification is not allowed.

The permission must be obtained by business entities and be valid, and the notification must be sent by the entrepreneur prior to the start of the activities or action (operation) in respect of which the Law of the Republic of Kazakhstan "On Permits and Notifications" establishes an authorization or notification procedure.

3. Establishment by the Law of the Republic of Kazakhstan "On Permits and Notifications" of an authorization or notification procedure is made depending on the level of danger of an activities or action (operation) in order to protect human life and health, the environment, property, national security and law and order.

4. Exhaustive lists of permits and notifications are provided for by the Law of the Republic of Kazakhstan on Permits and Notifications.

5. The issuance, extension, re-registration, renewal and implementation of other actions prescribed by the legislation of the Republic of Kazakhstan with regard to permits, as well as annexes thereto, are public services and are not subject to the Law of the Republic of Kazakhstan "On Permits and Notifications", are regulated by the Law of the Republic of Kazakhstan "On government services".

Article 109. The procedure for the introduction and cancellation of the permit or notification procedure

1. An authorization or notification procedure is implemented only by including the relevant permission or notification in the lists of permits or notifications provided for in Annexes 1, 2 and 3 to the Law of the Republic of Kazakhstan “On Permits and Notifications”.

2. In order to implement a permit or notification procedure, regulatory authorities must first conduct a regulatory impact analysis procedure in accordance with Article 83 of this Code.

3. When implementing a permit procedure in relation to an activities or action (operation) that was not previously subject to the permitting procedure, the obligation to obtain a permit arises from the entrepreneur carrying out the activities or action (operation) from the date of enactment of the regulatory legal act regulating the procedure for obtaining the permit and (or) establishing the requirements for obtaining permission.

4. Regulatory legal acts regulating the procedure for obtaining a permit, approving permit or qualification requirements and (or) a list of documents confirming the applicants' compliance with such requirements, cannot be put into effect until the expiration of sixty calendar days after the day of their first official publication.

In the case of implementing a permit procedure for activities or actions (operations) that were not previously subject to a permitting procedure, applicants are may to apply for a permit prior to the enactment of regulatory legal acts regulating the procedure for obtaining a permit approving the permitting or qualification requirements, and (or) a list of documents confirming applicants' compliance with such requirements, but no later than five working days before the enactment of these acts.

At the same time, the issuance of permits or motivated refusals to issue them on applications filed in accordance with part two of this clause must be carried out by the permitting authorities after the regulatory legal acts referred to in part one of this clause come into effect in the timeframe and procedure established for their issuing.

5. Applicants who have applied for a permit in accordance with paragraph 4 of this article are may, prior to issuing a permit or a reasoned refusal to issue it, to carry out an activities or action (operation) in respect of which an authorization procedure has been introduced, without a permit, except in cases established by the Law of the Republic of Kazakhstan "On Permits and Notifications".

6. Cancellation of the permit or notification procedure is carried out by excluding the permission or notification from the lists of permits and notifications provided for in Annexes 1, 2 and 3 to the Law of the Republic of Kazakhstan “On Permits and Notifications”, and entails the right of an enterprise to undertake an activities or action (operation ) without permission or notice.

Footnote. Article 109 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication); dated 12.03.2021 No. 15-VII (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 110. Applicants. Applicants' rights

1. Applicants can be the following business entities that applied to the appropriate licensing authority for licensing or the authorization procedure or sent a notification:

1) individual entrepreneur;

2) a legal entity;

3) a branch or representative office of a legal entity;

4) licensee;

5) the owner of the permission of the second category.

2. Applicants have the right to:

1) receive complete and accurate information about permissions and notifications;

The procedure for the introduction of subparagraph 2) see paragraph 6 of Article 324 of the Code of the Republic of Kazakhstan dated 10.29.2015 No. 375-V.

2) to appeal against decisions, actions (inactions) of permitting authorities and state bodies that receive notifications, and (or) their officials, the Government-to-Citizens State Corporation and (or) its employees on licensing and permitting procedures or gaining notifications in accordance with the legislation of the Republic of Kazakhstan;

3) select an electronic or paper application form for obtaining a permit and (or) annex to it or sending a notification, and also choose an electronic or paper form of the issued permit and (or) annex to it, taking into account the provisions of Article 48 of the Law of the Republic of Kazakhstan "On Permits and notifications".

3. Oralmans and foreign legal entities receive permits and send notifications on a par with citizens and legal entities of the Republic of Kazakhstan, unless otherwise provided for by the laws of the Republic of Kazakhstan and international treaties of the Republic of Kazakhstan.

Article 111. Rights and obligations of the permitting authorities

1. Licensing authorities are licensors and authorities authorized to issue permits of the second category.

2. Licensing authorities, within their competence, have the right to request government bodies for information necessary for the implementation of a licensing or permit procedure, including through information systems.

3. Licensing authorities are obliged:

1) to carry out licensing and authorization procedures in accordance with this Code and the Law of the Republic of Kazakhstan "On Permits and Notifications";

2) to create the necessary conditions for persons with disabilities when they receive permits;

3) to provide in an accessible form complete and reliable information on licensing, authorization procedures, the list of required documents and the procedure for obtaining and processing such documents;

The procedure for the introduction of subparagraph 4), see paragraph 7 of Article 324 of the Code of the Republic of Kazakhstan dated 10.29.2015 No. 375-V.

4) to provide state bodies and the State Corporation for Citizens with documents and (or) information necessary for the implementation of licensing and authorization procedures, including through information systems;

5) to take measures aimed at restoring the violated rights, freedoms and legitimate interests of applicants, licensees and holders of permits of the second category;

6) within their competence, to ensure the smooth functioning and filling of information systems containing the necessary information for issuing permits;

7) to obtain the written consent of applicants, licensees and holders of permits of the second category, including in the form of an electronic document, to use personal data of limited access, constituting a secret protected by law, contained in information systems when issuing permits, unless otherwise provided for by the laws of the Republic of Kazakhstan.

Article 112. Implementation of licensing, authorization procedures and electronic notifications

1. Licensing and sending of notifications shall be carried out in electronic form using the state information system of permits and notifications and the state electronic register of permits and notifications.

Permitting procedures are carried out in electronic form using the state information system of permits and notifications and the state electronic register of permits and notifications subject to the provisions of paragraph 3 of Article 52 of the Law of the Republic of Kazakhstan "On Permits and Notifications".

2. The procedure for filing an application, issuing permits and (or) annexes to a permit is regulated by the Law of the Republic of Kazakhstan on Permits and Notifications.

3. The state electronic register of permits and notifications is maintained by the permitting authorities on an ongoing basis.

The state electronic register of permits and notifications of notifications is maintained by state bodies that receive notifications, in cases provided for by the legislation of the Republic of Kazakhstan.

Chapter 9-1. INFORMATION INSTRUMENTS

Footnote. Section 3 is supplemented by Chapter 9-1 in accordance with the Law of the Republic of Kazakhstan No. 156-VI dated 24.05.2018 (shall be enforced upon expiry of six months after its first official publication).

Article 112-1. Data tools

1. Data tools shall refer to the requirements to provide information to public authorities or other persons as set out in the laws of the Republic of Kazakhstan, meeting all of the following criteria at the same time:

1) the provision of data is compulsory;

2) failure to provide data entails liability in obedience to the laws of the Republic of Kazakhstan;

3) data is provided by private businesses.

2. Following the enactment of the laws of the Republic of Kazakhstan providing for the introduction of data tools, the regulatory authority shall initiate supplements to the list of data tools, as well as to the register of requirements.

3. Information tools are provided in electronic form using information systems or on paper. The method of providing an information tool is determined by the subject of private entrepreneurship.

At the same time, it is prohibited to require the provision of information tools for which automation of their provision will not be implemented and ensured.

4. The provisions of this chapter shall not apply to data tools available in the field of tax, customs, financial policy, statistical activities, as well as covering a single regulator.

For the purposes of this Chapter, financial policy shall mean the totality of relations related to the activities of financial organisations, branches of banks - non-residents of the Republic of Kazakhstan, branches of insurance (reinsurance) organisations - non-residents of the Republic of Kazakhstan, branches of insurance brokers - non-residents of the Republic of Kazakhstan, insurance market participants that are not financial institutions, collection agencies, major participants in financial institutions, issuers of equity securities, credit bureaus, persons belonging to insurance groups and banking conglomerates, payment services market entities, with regulation of currency legal relations, provision of financial services as well as issuance, circulation, redemption and cancellation of financial instruments.

Footnote. Article 112-1 as reworded by Law of the RK No. 95-VII of 30.12.2021 (see Art. 2 for the enactment procedure).

Article 112-2. Types of information instruments

Footnote. Article 112-2 is excluded by Law of the RK No. 95-VII of 30.12.2021 (shall be enacted ten calendar days after the date of its first official publication).

Article 112-3. Features for introduction of information instruments

Footnote. Article 112-3 is excluded by Law of the RK No. 95-VII of 30.12.2021 (shall go into effect ten calendar days after the date of its first official publication).

Chapter 10. TECHNICAL REGULATION

Article 113. State regulation in the field of technical regulation

State regulation in the field of technical regulation consists in the establishment and implementation of mandatory requirements for products, including buildings and structures, design processes (including surveys), production, construction, installation, commissioning, operation, storage, transportation, sale and disposal related to the requirements for products, application on a voluntary basis of requirements for products, processes and rendering services, conformity assessment and state control and supervision in accordance with this Code and the legislation of the Republic of Kazakhstan in the field of technical regulation.

Footnote. Article 113 is in the wording of the Law of the Republic of Kazakhstan dated 30.12.2020 No. 397-VI (shall be enforced upon expiry of six months after the date of its first official publication).

Article 114. Objects of technical regulation

The objects of technical regulation shall be:

products, with the exception of civil aviation products, products used to protect information constituting a state secret (state secrets) or related to other information of restricted access protected in accordance with the law, products, information about which constitutes a state secret (state secrets), products, for which requirements shall be established related to ensuring safety in the field of atomic energy use, previously used products, veterinary drugs, medicines, medical devices (medical products and medical equipment);

the processes of design (including surveys), of production, construction, installation, commissioning, operation, storage, transportation, sale and disposal related to product requirements;

services in terms of voluntary certification, with the exception of services in the field of veterinary medicine, plant protection and quarantine, state, medical, educational, financial, banking and other services, the regulation of which is established by other laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 114 is in the wording of the Law of the Republic of Kazakhstan dated 30.12.2020 No. 397-VI (shall be enforced upon expiry of six months after the date of its first official publication).

Article 115. Subjects of technical regulation

The subjects of technical regulation shall be state bodies, as well as individuals and legal entities carrying out their activity on the territory of the Republic of Kazakhstan and having the right to use the objects of technical regulation in accordance with the civil legislation of the Republic of Kazakhstan.

Footnote. Article 115 as amended by the Law of the Republic of Kazakhstan dated 30.12.2020 No. 397-VI (shall be enforced upon expiry of six months after the date of its first official publication).

Chapter 11. STATE REGULATION OF PRICES AND RATES

Article 116. State regulation of prices and tariffs of entrepreneurs

1. Prices and tariffs for goods, works, services are determined by business entities on their own, with the exception of cases provided for in this Code.

2. The state establishes the regulation of prices and tariffs in order to ensure national security, protect public order, human rights and freedoms, and public health in the Republic of Kazakhstan.

3. The state regulates prices and tariffs for the following goods, works, services of entrepreneurs:

1) for socially important food products;

2) for goods, works, services in natural monopoly;

3) for goods, works and services produced and sold by state monopoly and special right entities;

4) for goods (works, services) in respect of which state price regulation has been introduced;

5) for goods, works, services in international business transactions and transactions related to international business transactions arising from transfer pricing;

6) for the retail sale of petroleum products through stationary gas stations for which state price regulation has been established, and wholesale sales of petroleum products for stationary gas stations for which state price regulation has been established;

6-1) approval of marginal prices for medicinal products;

7) for the establishment of minimum prices for special vodkas and vodkas, vodkas with a protected appellation of origin, spirits, cognac and brandy;

8) for the establishment of minimum retail prices for filtered and unfiltered cigarettes, cigarettes, cigarillos and heated tobacco products;

9) in commodity markets that are not in a state of natural monopoly, in certain cases, including emergency situations, natural disasters, national security, provided for that the problems that have arisen cannot be solved in a way that has less negative consequences for the state of competition;

10) for commercial and liquefied petroleum gas;

11) approval of the prices of raw and commercial gas purchased by the national operator within the framework of the pre-emptive right of the state;

12) approval of tariffs for energy producing organizations;

13) on subsidized services;

14) in socially significant markets.

Footnote. Article 116 as amended by the Law of the Republic of Kazakhstan dated 29.03.2016 No. 479-V (shall be enforced upon the expiry of twenty one calendar day after the date of its first official publication); dated 09.04.2016 No. 499-V (shall be entered into force upon the expiry of ten calendar days after the day of its first official publication); dated 28.12.2016 No. 34-VI (shall be enforced from 01.01.2017); dated 25.12.2017 No. 122-VI (shall be enforced from 01.01.2018); dated 04.07.2018 No. 173-VI (shall be entered into force upon the expiry of ten calendar days after the day of its first official publication); No. 211-VI dated 28.12.2018 (shall be enforced upon expiry of three months after its first official publication); No. 297-VІ dated 30.12.2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); No. 95-VII of 30.12.2021 (shall come into force sixty calendar days after the date of its first official publication); No. 96-VII of 30.12.2021 (shall be enforced sixty calendar days after the date of its first official publication); No. 100 of 31.12.2021 (shall take effect on 01.03.2022); No. 101-VII of 03.01.2022 (shall be enacted on 01.07.2022); dated 30.12.2022 No. 177-VII (shall be enforced sixty calendar days after the date of its first official publication); dated 29.06.2023 No. 13-VIII (shall be enforced ten calendar days after the date of its first official publication).

Article 117. Pricing for socially important food products

1. The authorized body in the field of regulation of trading activities approves the list of socially significant food products in coordination with the authorized body in the field of social protection of the population.

The threshold values of retail prices for socially important food products, the size of the maximum permissible retail prices for socially important food products are approved by local executive bodies.

The threshold value of retail prices for socially important food products is the permissible level of retail prices, established in order to prevent unreasonable price increases, to keep inflation within acceptable limits and to ensure macroeconomic stability in the country to which a entrepreneur has the right to determine retail prices for socially important food products.

The maximum allowable retail prices for socially important food products are recognized as the level of retail prices set by local executive bodies in the event that the threshold values of retail prices for socially important food products are exceeded.

2. When concluding contracts for the supply of socially important food products, the size of the marginal markup must be established on a mandatory basis. A transaction made in violation of this requirement is not valid.

3. In case of exceeding the threshold values of retail prices for socially important food products in the region, the city of republican status, the capital, the local executive body, after consulting with the subjects of trading activities, has the right to set the size of the maximum allowable retail prices for them in the region, city of republican status, the capital for a period of not more than ninety calendar days.

Footnote. Article 117 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication); dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 118. Formation of tariffs for regulated services of natural monopoly entities

1. Formation of tariffs for regulated services of natural monopoly entities shall be carried out in accordance with the legislation of the Republic of Kazakhstan on natural monopolies.

2. Natural monopoly shall be the state of market for goods, works and services, in which the creation of competitive conditions to meet the demand for a certain type of goods, works and services shall be impossible or economically inexpedient due to the technological features of production and provision of this type of goods, works and services.

Footnote. Article 118 is in the wording of the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication).
The order of entry into force of Article 119, see paragraph 9 of Article 324 of the Code of the Republic of Kazakhstan dated 10.29.2015 No. 375-V.

Article 119. State Price Regulation

As a temporary measure for a certain period on the territory of the Republic of Kazakhstan, in the order determined by the antimonopoly authority, state price regulation may be introduced in certain commodity markets and (or) for goods (works, services) of individual market entities.

Footnote. Article 119 as amended by the Law of the Republic of Kazakhstan dated 01.07.2022 No. 131-VII (shall be enforced from 01.07.2022).

Article 120. Pricing of goods produced and sold by state monopoly and special right entities

1. Pricing rules for goods produced and sold by a state monopoly and special right entity shall be adopted by the anti-monopoly authority.

The designated public authorities shall hold public hearings when considering applications by state monopoly and special right entities, in conformity with the rules referred to in the first part of this paragraph.

2. The anti-monopoly authority shall examine the prices of goods produced and sold by a state monopoly and special right entity in line with the rules referred to in the first part of paragraph 1 hereof.

3. For the purpose of the examination of prices for goods, state monopoly, and special right entities shall be obliged to provide in writing:

1) information on selling prices, with supporting evidence of the price level, no later than thirty calendar days from the day the state monopoly or special right to goods is introduced;

2) at least thirty calendar days' notice of an impending change (increase and/or decrease) in the price of goods and the grounds for the change (increase and/or decrease), with supporting material to substantiate the grounds for the change (increase and/or decrease).

4. The time limit for the examination of prices for goods shall not exceed ninety calendar days from the date of receipt of the notification or information for examination. The total period of examination shall not exceed one hundred and twenty calendar days.

5. During the consideration of a notification or information, the antimonopoly authority may request, within the time limits established by this Code, additional information and/or documents necessary for taking a decision from the state monopoly and special right entity.

6. While additional information and/or documents are being submitted, consideration of the notification or information shall be suspended until the state monopoly or special right entity submits the relevant additional information and/or documents.

7. The antimonopoly authority shall resume consideration of the notification or information upon submission of additional information and/or documents by the state monopoly or special right entity.

8. The calculation of the deadline for the examination of prices for goods shall proceed from the date of resumption of the examination.

Footnote. Article 120 as reworded by Law of the Republic of Kazakhstan No. 101-VII of 03.01.2022 (shall take effect on 01.07.2022).

Article 120-1. Pricing in socially significant markets

Pricing in socially significant markets is carried out in accordance with the pricing rules in socially significant markets, approved by the authorized body that manages natural monopolies.

Footnote. The Code is supplemented by Article 120-1 in accordance with the Law of the Republic of Kazakhstan dated 28.12.2016 No. 34-VI (shall be enforced from 01.01.2017).

Article 121. Regulation of prices for goods, works, services in international business operations and transactions related to international business operations

1. In the Republic of Kazakhstan, the regulation of prices for goods, works, services in international business operations and transactions related to international business operations arising from transfer pricing is carried out in accordance with the Law of the Republic of Kazakhstan on Transfer Pricing.

2. The transfer price (transfer pricing) is the price that is formed between the interrelated parties and (or) differs from the objectively emerging market price with regard to the price range when making transactions between independent parties and is subject to control in accordance with the Law of the Republic of Kazakhstan "On Transfer Pricing".

3. International business operations are export and (or) import transactions for the sale of goods; transactions for the performance of work, the provision of services, one of the parties to which is a non-resident operating in the Republic of Kazakhstan without a permanent establishment; transactions of residents of the Republic of Kazakhstan, committed outside the territory of the Republic of Kazakhstan, for the sale and purchase of goods, the performance of work, and the provision of services.

Article 122. Pricing for retail sale of petroleum products through stationary gas stations for which state price regulation has been established, and for wholesale sales of petroleum products for stationary gas stations for which state price regulation has been established

1. The state regulates prices for the retail sale of petroleum products through stationary gas stations and for the wholesale sale of petroleum products intended for sale at stationary gas stations, in accordance with the legislation of the Republic of Kazakhstan on state regulation of production and turnover of certain types of petroleum products.

2. The authorized body in the field of production of petroleum products, in coordination with the authorized body exercising management in the field of natural monopolies, in accordance with the procedure approved by the authorized body in the field of production of petroleum products, sets the maximum prices for the retail sale of petroleum products through stationary gas stations for which state price regulation is established, and for the wholesale sale of petroleum products intended for sale at stationary gas stations where state regulation of prices is established.

3. Retail sellers of petroleum products when selling petroleum products through stationary gas stations are obliged not to exceed the established marginal prices for the retail sale of petroleum products through stationary gas stations, for which state price regulation is established.

Wholesale sellers of petroleum products for stationary gas stations are obliged not to exceed the established marginal prices for the wholesale sale of petroleum products, for which state price regulation is established.

4. In the case of state regulation of prices for the retail sale of petroleum products through stationary gas stations and for the wholesale sale of petroleum products intended for sale at stationary gas stations, marginal prices are set no more than once a month.

Footnote. Article 122 as amended by the Law of the Republic of Kazakhstan dated 30.12.2022 No. 177-VII (shall be enforced sixty calendar days after the date of its first official publication).

Article 122-1. Approval of marginal prices for medicinal products

1. The state shall approve marginal prices for medicinal products in accordance with the legislation of the Republic of Kazakhstan for health care.

2. The state control over compliance with the procedure for pricing medicinal products shall be carried out by the authorized agency for health care in the manner established by the legislation of the Republic of Kazakhstan for health care.

Footnote. Chapter 11 is supplemented by Article 122-1 in accordance with the Law of the Republic of Kazakhstan No. 211-VI dated 28.12.2018 (shall be enforced upon expiry of three months after its first official publication).

Article 123. Establishment of minimum retail prices for special vodkas and vodkas, vodkas with protected appellation of origin, spirits, cognac and brandy

The state shall establish minimum retail prices for special vodkas and vodkas, vodkas with a protected appellation of origin, strong liqueur and vodka products, cognac and brandy in observance of the legislation of the Republic of Kazakhstan on state regulation of production and turnover of ethyl alcohol and alcoholic products.

Footnote. Article 123 - as reworded by Law of the RK No. 100 of 31.12.2021 (shall be enforced on 01.03.2022).

Article 124. Establishment of minimum retail prices for filtered and unfiltered cigarettes, cigarettes, cigarillos and heated tobacco products

The state shall set minimum retail prices for filtered and unfiltered cigarettes, cigarettes, cigarillos and heated tobacco products in obedience to the legislation of the Republic of Kazakhstan on state regulation of production and turnover of tobacco products.

Footnote. Article 124 as reworded by Law of the RK No. 95-VII of 30.12.2021 (shall be enacted upon expiration of sixty calendar days after its first official publication).

Article 124-1. Pricing for commercial and liquefied petroleum gas

1. The state regulates prices for commercial and liquefied petroleum gas in accordance with the legislation of the Republic of Kazakhstan on gas and gas supply.

2. The central executive body that carries out state regulation of production, transportation (carriage), storage and wholesale sales of gas, as well as retail sales and consumption of commercial and liquefied petroleum gas, in cases and in the manner determined by it in coordination with the authorized body exercising management in the natural monopoly areas, shall set maximum prices for the wholesale sale of commercial gas on the domestic market, as well as maximum prices for the wholesale and retail sales of liquefied petroleum gas within the supply plan outside commodity exchanges.

3. Persons selling commercial gas or liquefied petroleum gas within the supply plan shall not exceed the established maximum prices.

Footnote. Chapter 11 is supplemented by Article 124-1 in accordance with the Law of the Republic of Kazakhstan dated 29.03.2016 No. 479-V (shall be enforced upon twenty-one calendar days after the day of its first official publication); as amended by the Law of the Republic of Kazakhstan dated 29.06.2023 No. 13-VIII (shall be enforced ten calendar days after the date of its first official publication).

Article 124-2. Approval of prices of raw and commercial gas purchased by the national operator under the pre-emptive right of the state

Footnote. Title as amended by the Law of the Republic of Kazakhstan dated December 30, 2022 No. 177-VII (shall be enforced ten calendar days after the day of its first official publication).

The State approves the prices of raw and commercial gas purchased by the national operator under the pre-emptive right of the state, in accordance with the legislation of the Republic of Kazakhstan on gas and gas supply.

Footnote. Chapter 11 is supplemented by Article 124-2 in accordance with the Law of the Republic of Kazakhstan dated 29.03.2016 No. 479-V (shall be entered into force upon the expiry of twenty one calendar days after the day of its first official publication); as reworded by Law of the Republic of Kazakhstan No. 297-VІ dated 30.12.2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); as amended by No. 177-VII dated 30.12.2022 (shall be enforced ten calendar days after the date of its first official publication).

Article 124-3. Tariff formation of energy producing organizations

The tariff formation of energy-producing organizations is carried out in accordance with the legislation of the Republic of Kazakhstan on the electric power industry.

Footnote. Chapter 11 is supplemented by Article 124-3 in accordance with the Law of the Republic of Kazakhstan dated 29.03.2016 No. 479-V (shall be entered into force upon the expiry of twenty one calendar days after the day of its first official publication).

Article 124-4. Regulation of prices for subsidized services

The state regulates the prices of subsidized services in mail, communication and transportation in accordance with the legislation of the Republic of Kazakhstan on mail, communication, road transport and rail transport.

Footnote. Chapter 11 is supplemented by Article 124-4 in accordance with the Law of the Republic of Kazakhstan dated 09.04.2016 No. 499-V (shall be enforced upon the expiry of ten calendar days after the date of its first official publication).

Chapter 11-1. Socially significant markets

Footnote. The Code is supplemented by Chapter 11-1 in accordance with the Law of the Republic of Kazakhstan dated 28.12.2016 No. 34-VI (shall be enforced from 01.01.2017).

Article 124-5. Socially significant markets

1. State regulation of prices applies to goods (works, services) of subjects of socially significant markets in the following areas:

Subparagraph 1) was valid until 01.01.2020 - Law of the Republic of Kazakhstan dated 30.11.2016 No. 26-VI.

1) retail sale of electric energy by energy supplying organizations;

2) organizing and conducting centralized trade in electric energy, ensuring the readiness of the trading system for centralized bidding, centralized purchase and sale of electric energy by a single buyer of electric energy in terms of the costs of a single buyer of electric energy related to the implementation of its activities, centralized purchase of services to maintain the availability of electric power and centralized sale of services to ensure the availability of electric power to bear the burden of a single buyer in terms of the costs of a single buyer, related to the implementation of its activities;

Subparagraph 3) was valid until 01.01.2020 - Law of the Republic of Kazakhstan dated 30.11.2016 No. 26-VI.

3) retail sales of commercial gas, retail sales of liquefied petroleum gas through group tank installations;

Subparagraph 4) was valid until 01.01.2020 - Law of the Republic of Kazakhstan dated 30.11.2016 No. 26-VI.

4) provision of airport services on domestic flights: embarkation and disembarkation of passengers (by means of a telescopic gangway), lease of airport premises used to ensure the transportation process, cargo handling, provision of a workplace (area) for passenger registration, provision of aircraft with aviation fuel - lubricants;

Subparagraph 5) was valid until 01.01.2020 - Law of the Republic of Kazakhstan dated 30.11.2016 No. 26-VI.

5) provision of services for the carriage of goods by rail and locomotive traction, with the exception of:

services for the leasing of railway freight cars and services of the operator of cars (containers);

services for the carriage of goods by rail in transit traffic through the territory of the Republic of Kazakhstan;

services for the transportation of goods in containers, piggyback shipments, empty containers and empty fitting platforms by rail.

2. State regulation of prices in the areas specified in subparagraphs 1) and 3) of paragraph 1 of this article shall apply to market entities whose state regulation of prices and state control over pricing were carried out before January 1, 2017.

3. State regulation of prices in the areas indicated in subparagraphs 1) and 3) of paragraph 1 of this article also applies to market entities that in total meet the following conditions:

1) after January 1, 2017 provide services to consumers who were previously provided for with services by regulated market entities whose state regulation of prices and state control over pricing was carried out before January 1, 2017;

2) the volume of services rendered to consumers specified in subparagraph 1) of this paragraph is thirty-five or more percent of the volume of services of a market entity, the state regulation of prices and state control over pricing of which were carried out before January 1, 2017.

4. The authorized agency managing for natural monopolies, in exercising state control over compliance with the pricing procedure and obligations of entity of socially significant market shall coordinate with law enforcement agencies within the competence established by the legislation of the Republic of Kazakhstan.

Footnote. Article 124-5 as amended by the Law of the Republic of Kazakhstan dated 24.05.2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after the date of its first official publication); No. 241-VI dated 02.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); dated 19.04.2023 No. 223-VII (shall be enforced from 01.07.2023).

Article 124-6. Competence of the authorized body exercising leadership in the areas of natural monopolies in socially significant markets

Authorized body exercising leadership in the areas of natural monopolies:

1) develops proposals for the formation of state policy in socially significant markets;

2) carries out state regulation of prices and state control over the observance of the pricing procedure and the obligations of the subject of the socially significant market;

3) develops and approves pricing rules for socially significant markets;

4) monitors the prices of subjects of socially significant markets;

5) coordinates the marginal prices for goods (works, services) sold by subjects of socially significant markets;

5-1) reduces the marginal prices of goods (works, services) sold by entities of socially significant markets in the amount of income received in connection with:

non-fulfillment of investment program measures accounted in marginal prices;

non-use of funds for purchase and (or) transmission of electrical energy, commercial gas, accounted in marginal prices;

exceeding the volume for consumption of goods (works, services), including individual groups of consumers, accounted in marginal prices;

exceeding the marginal price of goods (works, services) agreed upon by the authorized agency managing for natural monopolies;

6) conducts public hearings when considering notifications of subjects of socially significant markets about the upcoming price increases for goods (works, services);

7) make mandatory to the subject of the socially significant market instructions for the execution of its obligations under this Code;

8) in the event that a subject of a socially significant market fails to comply with the prescription, it will file a lawsuit in court to force the subject of the socially significant market to perform the actions specified in the prescription;

9) initiates and examines cases of administrative offenses, as well as imposes administrative penalties in the manner established by the Administrative Offenses Code of the Republic of Kazakhstan;

10) requests and receives information necessary for the exercise of its powers from the subjects of socially significant markets in compliance with the requirements established by the legislative acts of the Republic of Kazakhstan for disclosing information constituting commercial and other secrets protected by law;

10-1) It was valid until 01.01.2022 by the Law of the Republic of Kazakhstan dated 12.27.2019 No. 295-VІ.

10-2) develops and approves the rules for calculating and paying the temporary balancing fee provided for by the legislation of the Republic of Kazakhstan on railway transport, in coordination with the central executive body in charge of railway transport;

11) exercises other powers provided for by this Code, the laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Footnote. Article 124-6 as amended by the Law of the Republic of Kazakhstan No. 241-VI dated 02.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); No. 295-VІ dated 27.12.2019 (the order of enforcement see Article 2); dated 29.12.2022 No. 174-VII (shall be enforced from 01.01.2022 and valid until 01.01.2024).

Article 124-7. State regulation of prices and state control over compliance with the pricing procedure and the obligations of the subject of the socially significant market

1. State regulation of prices and state control over the observance of pricing procedures and obligations of a subject of a socially significant market are carried out in order to protect the interests of consumers and subjects of socially significant markets.

2. The subject of a socially significant market is an individual or legal entity that produces (sells) goods (works, services) in socially significant markets.

3. The state control over compliance with the procedure for pricing and obligations of entity of socially significant market shall be carried out by the authorized agency managing for natural monopolies, in the manner established by this Code and the rules of pricing for socially significant markets.

Footnote. Article 124-7 as amended by the Law of the Republic of Kazakhstan No. 241-VI dated 02.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication).

Article 124-8. Obligations of the subject of socially significant market

The subject of the socially significant market is obliged:

1) to submit to the authorized body exercising leadership in the areas of natural monopolies the following information:

monthly information on the volumes of production (sales), the level of profitability and selling prices of the produced (realized) goods (works, services) in the form approved by the authorized body exercising leadership in the fields of natural monopolies, no later than the last day of the month following the reporting month;

quarterly financial statements in accordance with the legislation of the Republic of Kazakhstan on accounting and financial reporting no later than the last day of the month following the reporting quarter;

not later than August 1 of the current calendar year and May 1 of the next calendar year, information on the results of the half year, year on performance or non-performance of the investment program, considered in marginal price, in the form approved by the authorized agency managing for natural monopolies;

information necessary for price examination, in electronic form within the terms established by the authorized agency managing for natural monopolies, which shall not be less than five working days from the date of receipt the relevant requirement by entity of socially significant market;

information on selling prices with justifying materials confirming the price level, not later than thirty calendar days from the date of introduction the state regulation of prices or from the date of the start production (sale) of goods, works, services, or not less than thirty calendar days before the upcoming increase in selling price for goods, work, services;

a half year information on use of funds for purchase and (or) transmission of electric energy, commercial gas, accounted in marginal price, with attachment of supporting materials not later than the twenty fifth day of the month following the reporting period, except for entities of socially significant markets specified in subparagraphs 2 ), 4) and 5) of Paragraph 1 of Article 124-5 of this Code;

2) to provide information on upcoming price increases for goods (works, services) above the marginal price and the reasons for their increase with the submission of supporting materials confirming the reasons to the authorized agency managing for natural monopolies, in electronic form, not less than for thirty calendar days;

3) comply with the procedure for pricing in socially significant markets;

4) execute measures of the investment program (project), taken into account in marginal prices in accordance with the procedure for pricing in socially significant markets;

4-1) to place in mass media in the manner determined by the authorized agency managing for natural monopolies:

a half year information on use of funds for purchase and (or) transmission of electric energy, commercial gas, accounted in marginal price, not later than the twenty fifth day of the month following the reporting period, except for entities of socially significant markets specified in subparagraphs 2 ), 4) and 5) of Paragraph 1 of Article 124-5 of this Code;

a half year information on income received as a result of the excess consumption of goods (work, services), including individual groups of consumers, accounted in marginal price, not later than the twenty-fifth day of the month following the reporting period;

a half year information on performance or non- performance of the investment program accounted in marginal price, not later than the twenty-fifth day of the month following the reporting period;

information on increase in marginal prices for goods (works, services) and justifying materials not later than five working days from the date of its referral for approval to the authorized agency managing for natural monopolies;

5) return the income received and not used for the implementation of investment programs (projects) recorded in marginal prices directly to consumers or if it is impossible to establish a complete list of consumers by lowering the marginal price level for the upcoming period in accordance with the pricing procedure in socially significant markets;

6) return the income received as a result of an unjustified excess of the marginal price directly to consumers no later than thirty calendar days from the moment of the establishment of such a fact by the authorized body that manages natural monopolies, or by reducing the marginal price level for the upcoming period in accordance with the procedure for pricing socially significant markets if it is impossible to establish a complete list of consumers;

7) comply with the instructions of the authorized body exercising leadership in the areas of natural monopolies, within the terms established by the authorized body exercising leadership in the areas of natural monopolies, not exceeding thirty calendar days from the date of their receipt;

8) to place information on selling prices, on the results of public hearings and financial reporting on its Internet resource or Internet resource of the authorized agency managing for natural monopolies.

Footnote. Article 124-8 as amended by the Law of the Republic of Kazakhstan No. 241-VI dated 02.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication).

Article 124-9. Rights and obligations of a consumer of services (goods, works) of a subject of a socially significant market

1. A consumer of services (goods, works) of a subject of a socially significant market is may to:

1) acquire services (goods, works) of a subject of a socially significant market in the manner and at prices not exceeding the marginal prices (charge rates) established by the authorized body exercising leadership in the areas of natural monopolies;

2) to appeal the actions (inaction) of the authorized body carrying out management in the areas of natural monopolies, as well as the decisions taken by it in the manner established by the laws of the Republic of Kazakhstan;

3) appeal to the authorized body exercising leadership in the areas of natural monopolies, and (or) in court the actions (inaction) of the subject of the socially significant market that contradict the legislation of the Republic of Kazakhstan;

4) participate in public hearings;

5) have other rights provided for by the legislation of the Republic of Kazakhstan.

2. A consumer of services (goods, works) of a subject of a socially significant market is obliged:

1) timely and fully pay for services (goods, works) of a subject of a socially significant market at prices not exceeding marginal prices (charge rates) established by the authorized body that manages natural monopolies;

2) fulfill the technical requirements established by the subject of the socially significant market in accordance with the legislation of the Republic of Kazakhstan.

Footnote. Article 124-9 as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 351-VI (shall be enforced from 01.07.2021).

Article 124-10. State control over compliance with the pricing procedures and obligations of entity of socially significant market

1. The state control over compliance with the pricing procedures and obligations of entity of socially significant market shall be carried out in the form of verification and preventive control with a visiting the entity (object) subject to control by the authorized agency, managing for natural monopolies, and its territorial divisions or the authorized agency for civil aviation in accordance with this Code.

2. In exercising state control over compliance with the pricing procedures and obligations of entity of socially significant market, the following response measures shall be taken:

1) initiation of the case on administrative offence;

2) issuing the prescription on elimination the offence for the pricing procedure and obligations of entity of socially significant market;

3) transfer of materials to law enforcement and other authorities.

3. Preventive control without visiting the entity (object) subject to control shall be carried out in accordance with this Code.

Preventive control without visiting the entity (object) subject to control shall be carried out by the authorized agency managing for natural monopolies and its territorial divisions or by the authorized agency for civil aviation without visiting the entity (object) subject to control based on the analysis and data of information systems, open sources, mass media, as well as other information on the activities of the entity (object) subject to control.

4. The entities subject to control shall be entities of socially significant markets.

5. The objectives of preventive control without visiting the entity (object) subject to control shall be the timely suppression and prevention of violations, granting the entity (object) subject to control the right to independently eliminate violations identified by the results of preventive control without visiting the entity (object) subject to control and reducing the administrative burden on the entity subject to control.

For granting the right to independently elimination the violations to the entity subject to control, preventive control without visiting the entity (object) subject to control shall be carried out only for those violations whose consequences can be eliminated in accordance with the legislation of the Republic of Kazakhstan.

6. According to the results of preventive control without visiting the entity (object) subject to control, a recommendation on elimination of the identified violations shall be made without initiating the case on administrative offence with compulsory explanation of the procedure for its elimination to the entity subject to control.

7. The recommendation on elimination of the violations identified by the results of preventive control without visiting the entity (object) subject to control shall be delivered to the entity subject to control in person by hand or otherwise confirming the facts of sending and receiving.

The recommendation on elimination of the violations identified as a result of preventive control without visiting the entity (object) subject to control, directed by one of the following ways, shall be considered to be delivered in the following cases:

1) by personal delivery - from the date of acknowledgement of receipt the recommendation;

2) by mail - by registered letter with notification;

3) by electronic means - from the date of sending to the email address of the entity subject to control by the authorized agency managing for natural monopolies and its territorial divisions or by the authorized agency for civil aviation, specified in the letter upon requesting by the authorized agency managing for natural monopolies, and its territorial divisions or authorized agency for civil aviation.

8. The recommendation on elimination of the violations identified by the results of preventive control without visiting the entity (object) subject to control should be executed within ten working days from the day following the day of its delivery.

9. In case of disagreement with the violations specified in the recommendation, the entity subject to control shall have the right to send the objection to the authorized agency managing for natural monopolies and its territorial divisions or the authorized agency for civil aviation sending the recommendation, within five working days from the day following the day of its delivery.

10. Nonperformance in the established period of the recommendation on elimination of violations identified by the results of preventive control without visiting the entity (object) subject to control shall entail the appointment of preventive control with a visiting to the entity (object) subject to control by inclusion in a half year list of the preventive control with a visiting the entity (object) subject to control.

11. Preventive control without visiting in respect of entities (objects) subject to control shall be carried out no more than once a quarter.

Footnote. Chapter 11-1 is supplemented by Article 124-10 in accordance with the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication).

Chapter 12. COMPULSORY INSURANCE

Article 125. Compulsory insurance of civil liability of business entities

Compulsory insurance of civil liability of business entities is established by the laws of the Republic of Kazakhstan.

Article 126. Purpose of compulsory insurance

The purpose of compulsory insurance is to compensate for the harm inflicted to life and (or) health, property of third parties, the environment, through insurance compensation.

Article 127. Target of compulsory insurance of civil liability of business entities

The target of compulsory insurance of civil liability of business entities is the property interest of business entities related to its duty, established by the civil legislation of the Republic of Kazakhstan, to reimburse property damage inflicted to life and (or) the health of individuals, property of third parties, the environment in in the course of entrepreneurial activities.

Article 128. Implementation of compulsory insurance

1. Compulsory insurance contracts for civil liability shall be concluded by business entities in the event of compensation for harm inflicted to life and (or) health of individuals, property of third parties, and the environment in the course of entrepreneurial activities.

2. The conclusion by business entities of a voluntary insurance contract of its civil liability for harm inflicted to life and (or) health, property of third parties, the environment associated with entrepreneurial activities does not exempt him from the obligation to enter into the relevant compulsory liability insurance contract of business entity provided for by the laws of the Republic of Kazakhstan.

Chapter 13. STATE CONTROL AND SUPERVISION
Paragraph 1. General provisions on state control and supervision

Article 129. Relations in the field of state control and supervision

1. Regulation of relations in the field of state control and supervision is carried out in order to establish the general legal foundations of state control and supervision in the Republic of Kazakhstan and is aimed at establishing uniform principles for control and supervisory activities, as well as protection of the rights and legitimate interests of state bodies, individuals and legal entities in respect of which the state control and supervision are carried out.

2. State regulation of relations in the field of organization of state control and supervision of subjects (objects) of state control and supervision shall be carried out in accordance with this Code, regardless of the legal status and types of activities, except for the cases provided for in paragraphs 4, 5, 6, 7, 8, 9, 11, 12 and 14 of this article.

3. This Code establishes:

1) the procedure for state control and supervision;

2) the procedure for interaction of control and supervision bodies during state control and supervision;

3) the rights and obligations of subjects of state control and supervision during state control and supervision, measures to protect their rights and legitimate interests;

4) the rights and obligations of control and supervision bodies and their officials in the conduct of state control and supervision.

4. The effect of this chapter, with the exception of this Article, Article 130, paragraphs 1, 2, 3 and 4 of Article 131 and Article 131-1 of this Code, does not apply to state control and supervision when it is impossible to determine in advance the subject (object) of state control and supervision, the time of their conduct, the location of the subject (object) of the state control and supervision related to:

1) compliance with road safety requirements;

2) the passage of motor vehicles through the territory of the Republic of Kazakhstan at transport control posts for compliance with transport safety requirements;

3) state control and supervision over the fulfillment of requirements for the safe operation of vessels in accordance with the Laws of the Republic of Kazakhstan "On Inland Water Transport" and "On Merchant Shipping";

4) implementation of state veterinary and sanitary control and supervision and state quarantine phytosanitary control and supervision in trade markets selling live animals, products and raw materials of animal and (or) vegetable origin, in organizations engaged in the production, harvesting (slaughter of animals), storage, processing of products and raw materials of animal and (or) vegetable origin in a single technological cycle;

5) compliance in specially protected natural territories and the territory of the state forest fund with the requirements in the field of specially protected natural territories, protection, use of the state forest fund, forest reproduction and afforestation, as well as for the purpose of state control over the unauthorized seizure of objects of the wildlife and plants;

5-1) compliance with the requirements in the field of custody, protection, restoration and use of wild plants;

6) compliance with the requirements for the use of wildlife in order to exercise state control and supervision over the unauthorized seizure of wildlife objects at:

fishery reservoirs – in terms of the established fishing measure of fish, sizes, types of tools and methods of fishing, restrictions and prohibitions on the use of wildlife, by–catch, as well as for keeping a log of the catch of fish resources and other aquatic animals (fishing log);

hunting territories - in terms of withdrawal, method and type of tools for hunting animals, their gender and age composition, restrictions and prohibitions on the use of wildlife;

7) state control and supervision of measures in quarantine zones and unfavorable points, foci of especially dangerous animal diseases, foci of the spread of quarantine facilities, especially dangerous harmful organisms;

8) state control over compliance with the rules of transportation of passengers, baggage and cargo baggage in passenger trains en route;

9) trade outside the places established by the local executive body;

10) state control in the field of population migration;

11) compliance with the requirements of the legislation of the Republic of Kazakhstan regulating the sale of alcoholic beverages to persons under the age of twenty-one, tobacco products, distribution of information products containing information prohibited for children, to persons under the age of eighteen, as well as the procedure for minors’ stay in entertainment facilities.

5. The effect of this Chapter, with the exception of this Article, Article 130, paragraphs 1, 2, 3 and 4 of Article 131, paragraphs 2 and 3 of Article 154 and Article 157 of this Code, does not apply to the implementation of state control in order to ensure compliance with the requirements of the budget legislation of the Republic of Kazakhstan and other regulatory legal acts regulating issues of planning and execution of the republican and local budgets conducted in accordance with the legislation of the Republic of Kazakhstan on state audit and financial control.

6. The effect of this Chapter, with the exception of Article 130, paragraphs 1, 2, 3 and 4 of Article 131, Article 131-1, paragraphs 2 and 3 of Article 154 and Article 157 of this Code, does not apply to state control related to the contractual relations in part of:

1) state control over fulfillment by subsoil users of the terms of contracts and (or) licenses for subsoil use;

2) state control over compliance with legal acts of individual application;

3) state control over the execution of contracts and other transactions provided for by the legislation of the Republic of Kazakhstan.

7. The effect of this chapter does not apply to the conduct of permissive control on the applicant's compliance with qualification or permissive requirements prior to the issuance of a permit and (or) an appendix to the permit in cases provided for by the Law of the Republic of Kazakhstan "On Permits and Notifications", and if the legislation of the Republic of Kazakhstan provides for such control.

8. The effect of this Chapter, with the exception of paragraphs 1, 2, 3 and 4 of Article 131 and Article 131-1 of this Code, does not apply to state control in the field of customs affairs.

9. The effect of this chapter, with the exception of this Article (in terms of state veterinary and sanitary control and supervision, state quarantine phytosanitary control and supervision, state control in the field of plant protection), Article 130, paragraphs 1, 2, 3 and 4 of Article 131 and Article 131-1 of this Code, does not apply to state control and supervision related to:

1) crossing the State border of the Republic of Kazakhstan;

2) carrying out state veterinary and sanitary control and supervision, state quarantine phytosanitary control and supervision, state control in the field of plant protection when crossing the customs border of the Eurasian Economic Union and (or) the State Border of the Republic of Kazakhstan and (or) at the places of delivery, places of completion of customs clearance determined in accordance with the international treaties, and also by carrying out the state quarantine phytosanitary control and supervision, veterinary and sanitary control at phytosanitary and veterinary control posts.

10. The effect of this chapter, with the exception of this Article, paragraph 1 of Article 130, articles 131-1, 143, 144, 151, 153, 154, 155, 156 and 157 of this Code, does not apply to the state control and supervision in order to ensure compliance with the norms of the tax legislation of the Republic of Kazakhstan, other legislation of the Republic of Kazakhstan, state control over the execution of which is entrusted to the state revenue bodies.

11. This Chapter, with the exception of this Article, Article 130, paragraphs 1, 2, 3 and 4 of Article 131, Articles 138 and 139, paragraphs 2 and 3 of Article 154 and Article 157 of this Code, does not apply to the implementation of state control and supervision in order to ensure compliance with the requirements of the financial legislation of the Republic of Kazakhstan, as well as state control and supervision of the financial market, financial organizations, operators and operational centers of payment systems, payment organizations, as well as collection agencies.

12. This chapter does not apply to relations in the fields of:

1) supreme supervision over the observance of the rule of law in the territory of the Republic of Kazakhstan, carried out by the Prosecutor's Office;

2) control and supervision during pre-trial proceedings in a criminal case;

3) justice;

4) operational and investigative activities;

5) counterintelligence activities;

6) state control in the field of mobilization training and mobilization;

7) monitoring compliance with the requirements of the legislation of the Republic of Kazakhstan on state secrets;

8) state control in the field of control of specific goods.

13. This Chapter, with the exception of this Article, Articles 130, 131-1, 133, paragraphs 2 and 3 of Article 154 and Article 157 of this Code, does not apply to relations in the fields of:

1) state control carried out by internal affairs bodies on:

compliance with the requirements of the legislation of the Republic of Kazakhstan in the field of turnover of civil and service weapons and ammunition to it;

compliance by individuals with the requirements for the storage, carrying and use of civilian weapons;

compliance with the requirements of the legislation of the Republic of Kazakhstan in the field of turnover of narcotic drugs, psychotropic substances and precursors, civil pyrotechnic substances and products with their use within the requirements of Article 133 of this Code and the operational and preventive measures of internal affairs bodies;

2) compliance with the requirements of the legislation of the Republic of Kazakhstan on countering terrorism in terms of ensuring the anti-terrorist protection of objects vulnerable to terrorism;

3) compliance with the requirements of the legislation of the Republic of Kazakhstan in the field of competition protection;

4) compliance with the legislation of the Republic of Kazakhstan in the field of state statistics;

5) compliance with the requirements of the legislation of the Republic of Kazakhstan in the field of legal turnover of explosives.

The relations arising during the state control over compliance with the requirements of the legislation of the Republic of Kazakhstan in the field of competition protection carried out by the antimonopoly authority are regulated by Chapter 20 of this Code.

14. The effect of this Chapter, with the exception of this Article, paragraphs 1 and 3 of Article 130, paragraphs 1, 2, 3 and 4 of Article 131 of this Code, does not apply to state control and supervision related to compliance of individuals and legal entities with the requirements for the safety of aircraft and aviation security.

15. At the same time, inspections carried out on the grounds specified in subparagraph 11) of paragraph 4, paragraphs 5 (except for inspections of internal audit services) and 10 (except for control at excise posts), subparagraphs 1), 2) and 5 of paragraph 13 of this article are subject to mandatory registration with the authorized body in the field of legal statistics and special records).

At the same time, the act on the appointment of inspections specified in subparagraph 11) of paragraph 4, subparagraphs 1) (in the field of narcotic drugs, psychotropic substances and precursors) and 2) of paragraph 13 of this article is subject to registration with the authorized body in the field of legal statistics and special records within the next working day after the start of the inspection.

The control and supervision bodies quarterly, no later than the fifth day of the month following the reporting quarter, submit to the authorized body in the field of legal statistics and special records the information on the inspections carried out in respect of private business entities specified in part one of this paragraph, in the form determined by the Prosecutor General's Office of the Republic of Kazakhstan.

16. This Chapter, with the exception of Article 130, paragraphs 1, 2, 3 and 4 of Article 131, Article 131-1, paragraphs 2 and 3 of Article 154 and Article 157 of this Code, does not apply to the implementation of the:

1) state control over the quality of public services;

2) state control over compliance with the legislation of the Republic of Kazakhstan, the subjects of which are the state bodies.

17. The procedure for conducting state control and supervision specified in paragraphs 4, 5, 6, 11, 12 and 14 of this Article, and the relations arising in this case are regulated by the laws of the Republic of Kazakhstan.

The procedure for conducting state control and supervision specified in paragraphs 8 and 9 of this Article, and the relations arising therefrom, are regulated by the laws of the Republic of Kazakhstan, international treaties of the Republic of Kazakhstan and acts constituting the law of the Eurasian Economic Union.

18. The relations listed in paragraphs 5, 6 and 12 of this Article, in terms of internal control, are subject to Article 38 of the Administrative Procedural Code of the Republic of Kazakhstan.

19. It is prohibited to conduct state control and supervision in cases where the laws of the Republic of Kazakhstan do not regulate the procedure for conducting state control and supervision specified in paragraphs 4, 5, 6, 9, 11, 12 and 14 of this article.

It is prohibited to conduct state control and supervision in cases where the laws of the Republic of Kazakhstan, international treaties and acts constituting the law of the Eurasian Economic Union do not regulate the procedure for conducting state control and supervision specified in paragraph 8 of this article.

20. State control and supervision of business entities shall be carried out only in the spheres of activity of business entities provided for in Articles 138 and 139 of this Code.

21. In order to include new areas of activity in Articles 138 and 139 of this Code, regulatory state bodies must first conduct a regulatory impact analysis procedure in accordance with Article 83 of this Code.

22. In cases directly provided for by the laws of the Republic of Kazakhstan, the provisions of this Chapter apply to relations regulated by these laws of the Republic of Kazakhstan, regulated by these laws.

Footnote. Article 129 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (see Article 2 for the procedure for entry into force); as amended by the Law of the Republic of Kazakhstan dated 28.12.2022 No. 173-VII (shall be enforced sixty calendar days after the date of its first official publication); dated 02.01.2023 No. 184-VII (shall be enforced sixty calendar days after the date of its first official publication).

Article 130. Purpose and objectives of state control and supervision

1. The purpose of state control and supervision is to ensure the safety of products produced and sold by the subject of state control and supervision, technological processes for the life and health of people, protection of their property, safety for the environment, national security of the Republic of Kazakhstan, including economic security, prevention of deceptive practices, saving natural and energy resources, increasing the competitiveness of domestic products and protection of constitutional rights, freedoms and legitimate interests of individuals and legal entities.

2. State bodies are prohibited from adopting subordinate regulatory legal acts on the procedure for conduct of state control and supervision of business entities, with the exception of regulatory legal acts provided for in paragraph 6 of Article 141, paragraph 1 of Article 143, paragraph 1 of Article 144-3 and paragraph 5 of Article 144-4 of this Code.

3. The objectives of state control and supervision are:

1) ensuring the prevention of offenses, causing harm (damage);

2) stimulating bona fide subjects of state control and supervision;

3) taking measures to eliminate the identified offenses.

Footnote. Article 130 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 131. Guarantees for business entities in the exercise of state control and supervision

Footnote. Title of Article 131 as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

1. State control and supervision of the activities of business entities are carried out by state bodies to which such a right is granted by this Code and the laws of the Republic of Kazakhstan.

2. State control and supervision of entrepreneurship is carried out on the basis of the principles of independence, objectivity, impartiality, reliability of forms of state control and supervision.

3. The state guarantees accountability and transparency of the system of state control and supervision.

4. State control and supervision is carried out on the basis of encouragement of conscientious subjects of state control and supervision, focusing of state control and supervision on violators.

5. It is prohibited to conduct preventive control with visits to subjects (objects) of state control and supervision without the preventive control without visiting subjects (objects) of state control and supervision in accordance with Article 144-1 of this Code, if the laws of the Republic of Kazakhstan provide for preventive control without visiting subjects (objects) of state control and supervision.

6. It is prohibited to conduct state control and supervision over small business entities, including microenterprises, within three years from the date of their state registration (except for established legal entities in the order of reorganization and legal successors of reorganized legal entities), with the exception of unscheduled inspections.

The provision of part one of this paragraph in terms of state control defined by the Code of the Republic of Kazakhstan "On Taxes and Other Mandatory Payments to the Budget" (Tax Code) applies only to tax audits.

Footnote. Article 131 as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 131-1. Unified Report Day

1. A Unified Report Day of the control and supervision bodies shall annually be held on the last Thursday of September, with the exception of the National Bank of the Republic of Kazakhstan and the authorized body for regulation, control and supervision of the financial market and financial organizations in the manner determined by the authorized business body in order to improve the interaction between business entities and the state.

2. A Unified Report Day is a meeting in the capital city, cities of republican significance and regional centres to discuss the results of state control and supervision and prevention of violations of the legislation of the Republic of Kazakhstan with business entities.

Footnote. Chapter 13 is supplemented by Article 131-1 in accordance with the Law of the Republic of Kazakhstan dated 30.12.2020 No. 397-VI (shall be enforced upon expiry of six months after the date of its first official publication).

Article 132. Performers and targets of state control and supervision. Requirements for the activities of performers (targets) of state control and supervision

1. The subjects of state control and supervision are individuals, legal entities, their branches and representative offices, state bodies whose activities are subject to state control and supervision.

The target of state control and supervision is the property on the right of ownership or other legal basis of the performer of state control and supervision, subject to state control and supervision.

2. The requirements for the activities of performers (targets) of state control and supervision are established by regulatory legal acts, and in cases provided for by the laws of the Republic of Kazakhstan, only by laws of the Republic of Kazakhstan, decrees of the President of the Republic of Kazakhstan and resolutions of the Government of the Republic of Kazakhstan.

Footnote. Article 132 as amended by the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 133. Guarantees of the private business entities upon carrying out of state control and supervision by law enforcement bodies

In relation to the private business entities, the law enforcement bodies shall conduct measures of control and (or) supervision only within the operational investigations, criminal prosecution, administrative proceedings and (or) implementation of regulatory functions, carried out by the law enforcement bodies, as well as in other cases, provided by the Laws of the Republic of Kazakhstan.

Article 134. State control

1. State control (hereafter – the control) is the activity of the control and supervision body for checking and monitoring the compliance of the activity of the subjects (objects) of control and supervision with the requirements, established by the legislation of the Republic of Kazakhstan.

2. The control shall be divided into internal control and external control.

3. The procedure for conducting internal control shall be determined by the Administrative Procedure and Procedural Code of the Republic of Kazakhstan.

4. The external control is the control, carried out by the control and supervision body for checking and monitoring the compliance of the activity of the subjects (objects) of control and supervision with the requirements, specified in paragraph 2 of article 132 and paragraph 3 of article 143 of this Code.

The procedure for external control is determined by Article 137 and paragraph 2 of Chapter 13 of this Code.

According to the results of external control, in case of detection of violations of the legislation of the Republic of Kazakhstan, the state bodies, within their competence, initiate administrative, disciplinary proceedings or initiate appropriate statements of claim within their competence and (or) take other measures stipulated by the laws of the Republic of Kazakhstan.

Footnote. Article 134 as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 351-VI (shall be enforced from 01.07.2021); dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 135. State supervision

1. State supervision (hereinafter referred to as supervision) is the activity of the control and supervision body for checking and monitoring of compliance of the activities of subjects (objects) of control and supervision with the requirements established by the legislation of the Republic of Kazakhstan, with the right to apply rapid response measures during its implementation.

2. Supervision consists in the application by the control and supervision body of rapid response measures without initiating administrative proceedings.

3. Supervision is divided into:

1) supreme supervision over the observance of legality on the territory of the Republic of Kazakhstan, carried out by the prosecutor's office on behalf of the state in accordance with the Constitution of the Republic of Kazakhstan, the Constitutional Law of the Republic of Kazakhstan "On the Prosecutor's Office" and other legislation of the Republic of Kazakhstan;

2) supervision carried out by control and supervision bodies in the manner and under the conditions established by this Code and other laws of the Republic of Kazakhstan.

Footnote. Article 135 as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 136. Prompt response measures

1. Rapid response measures are the methods of influencing the subjects (objects) of control and supervision provided for by the laws of the Republic of Kazakhstan in order to prevent the occurrence of socially dangerous consequences, applied during the implementation and based on the results of control and supervision.

It is prohibited to apply rapid response measures in cases where there is no procedure for their application in the laws of the Republic of Kazakhstan.

2. Rapid response measures are applied by control and supervision bodies in cases stipulated by the laws of the Republic of Kazakhstan, if the activities, goods (work, service) of the subject (object) of control and supervision pose a direct threat to the constitutional rights, freedoms and legitimate interests of individuals and legal entities, human life and health, the environment, national security of the Republic Kazakhstan.

3. The procedure for the application of rapid response measures established by the laws of the Republic of Kazakhstan includes:

1) grounds for the application of rapid response measures;

2) types of rapid response measures and conditions for their application to specific violations of requirements;

3) the procedure for issuing an order (act, resolution) on the application of a measure (measures) of rapid response.

The list of requirements included in accordance with Article 143 of this Code in the checklist, the violation of which is the basis for the application of rapid response measures, is determined by the legislation of the Republic of Kazakhstan.

4. Rapid response measures are applied by control and supervision bodies in the areas of activity defined by Article 139 of this Code.

Footnote. Article 136 as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 137. Forms of control

1. Control over the activities of subjects (objects) of control and supervision is carried out in the form of:

1) preventive control, which has a preventive nature, the order of organization and conduct of which is determined by this Code and other laws of the Republic of Kazakhstan;

2) inspections, the procedure of organization and conduct of which is determined by this Code, and in cases provided for by this Code – by other laws of the Republic of Kazakhstan;

3) investigations.

2. Preventive control is divided into types:

1) preventive control without visiting the subject (object) of control and supervision;

2) preventive control with a visit to the subject (object) of control and supervision;

3) control purchase.

3. Inspections are divided into the following types:

1) inspections carried out for compliance with qualification or licensing requirements for issued permits, requirements for sent notifications in accordance with the Law of the Republic of Kazakhstan "On Permits and Notifications" (hereinafter – inspection of compliance with requirements);

2) unscheduled inspections.

4. Investigation as one of the forms of control is a set of actions of control and supervision bodies carried out in accordance with Article 144-4 of this Code and other legislation of the Republic of Kazakhstan.

5. Preventive control with a visit to the subject (object) of control and supervision and (or) inspections are carried out by the control and supervision bodies by performing one of the following actions:

1) visiting the subject (object) of control and supervision by an official of the control and supervision body;

2) requesting the necessary information concerning the subject of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

3) summoning the subject of control and supervision in order to obtain information on his compliance with the requirements provided for in paragraph 2 of Article 132 and paragraph 3 of Article 143 of this Code.

6. The subject of preventive control with a visit to the subject (object) of control and supervision and (or) inspection is the compliance of the subjects of control and supervision with the requirements established in the checklists in accordance with paragraph 2 of Article 132 and paragraph 3 of Article 143 of this Code.

7. As part of preventive control or inspection, rapid response measures may be applied in accordance with the provisions of Article 136 of this Code.

The control and supervision body in the course of preventive control or inspection, upon detection of a violation of the requirements of the checklist, which is the basis for the application of the rapid response measure (measures), draws up an appropriate instruction (act, resolution) on the application of the rapid response measure (measures).

Footnote. Article 137 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 138. Scope of activities of business entities in which control is exercised

The control shall be carried out:

1) in the field of electric power industry;

2) in the field of energy saving and energy efficiency improvement;

3) excluded by the Law of the Republic of Kazakhstan dated December 27, 2017 No. 126-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

4) in the field of subsoil exploration and use;

5) in the field of gas and gas supply;

6) in the field of radiation safety of the population;

6-1) in the field of industrial safety;

7) during performance of subsoil use operations in the field of hydrocarbons and uranium mining;

8) for the production and circulation of certain types of petroleum products;

9) in the field of the use of atomic energy – for entities engaged in activities of potential radiation hazard;

10) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
11) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

12) in the field of compulsory insurance of civil liability of vehicle owners and the carrier to passengers at checkpoints across the State Border of the Republic of Kazakhstan;

13) in the field of transport;

14) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
15) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

16) in the field of control of specific goods;

17) in the field of technical regulation;

18) for compliance with the legislation of the Republic of Kazakhstan on Accreditation in the field of conformity assessment;

19) in the field of metrology;

20) in the field of housing management;

21) in the field of livestock breeding and beekeeping;

22) in the field of protection, reproduction and use of animal world;

23) in the field of seed production;

24) in the field of grain market regulation;

25) in the field of conservation, protection, use of the forest estate, forest reproduction and afforestation;

26) in the field of use and protection of the water fund of the Republic of Kazakhstan, dam safety;

27) is excluded by Law of the Republic of Kazakhstan No. 268-VI dated 28.10.2019 (shall be enforced since 06.01.2020) ;

28) in the field of conservation areas;

29) is excluded by the Law of the Republic of Kazakhstan dated 05.01.2021 No. 409-VI (shall be enforced from 01.01.2022).

30) for the use and protection of land;

31) for geodetic and cartographic activities;

32) in the field of environmental protection, reproduction and use of natural resources;

33) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
34) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

35) in the field of civil defense;

36) in the field of fire security;

37) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

38) for circulation of medicinal products and medical devices;

39) for the quality of rendered special social services;

39-1) in the field of rendering medical services (assistance);

40) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

41) in the field of sanitary and epidemiological welfare of the population;

42) for the education system;

43) for compliance with the legislation of the Republic of Kazakhstan on the National Archival Fund and Archives;

44) for compliance with the labor legislation of the Republic of Kazakhstan and the legislation of the Republic of Kazakhstan in the field of employment of the population;

45) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
46) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

47) in the field of social protection of persons with disabilities;

48) in the provision of special social services;

49) for the observance of the legislation of the Republic of Kazakhstan on Mass media;

50) for compliance with the legislation of the Republic of Kazakhstan on Television and Radio broadcasting;

51) in the field of communications;

52) in the field of informatization;

53) for compliance with the legislation of the Republic of Kazakhstan on Electronic document and Electronic digital signature;

The procedure for the introduction of subparagraph 54) see paragraph 11 of Article 324 of the Code of the Republic of Kazakhstan dated October 29, 2015 No. 375-V.

54) for tax revenues and other obligatory payments to the budget, as well as the full and timely transfer of mandatory pension contributions, mandatory professional pension contributions to the unified accumulative pension fund and social contributions to the State Social Insurance Fund, contributions and contributions to compulsory social medical care insurance to the Social Healthcare Insurance Fund;;

55) for receipt of non-tax payments within the competence established by the laws of the Republic of Kazakhstan;

56) when applying transfer prices;

57) for compliance with the legislation of the Republic of Kazakhstan on Counteraction of the Legitimization of the Proceeds of Crime and Financing of Terrorism;

58) the implementation of currency operations and activities related to the use of currency valuables;

59) for the financial market and financial organizations and in the field of financial legislation of the Republic of Kazakhstan;

60) excluded by the law of the Republic of Kazakhstan dated July 2, 2018 No. 168-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
60-1) excluded by the law of the Republic of Kazakhstan dated July 2, 2018 No. 168-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

61) for compliance with the legislation of the Republic of Kazakhstan on Payments and Payment systems and the Currency legislation of the Republic of Kazakhstan;

62) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

63) in the field of competition protection;

64) for the use of a trademark, service mark, geographical indication of goods or a company name;

65) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

66) in the field of valuation activities;

67) in the field of natural monopolies;

68) was valid until January 1, 2017 in accordance with the Code of the Republic of Kazakhstan dated October 29, 2015 No. 375-V.

68-1) for compliance with the pricing procedure and obligations of the performer of the socially significant market, established by this Code;

69) for compliance with the legislation of the Republic of Kazakhstan on public procurement, procurement of individual entities of the quasi-public sector;

70) for ensuring road traffic safety;

71) for the activities of individuals and legal entities engaged in the circulation of civilian and service weapons and its ammunition, civil pyrotechnic substances and products with their use;

72) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
73) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

74) for security activities;

75) for the installation, commissioning and maintenance of security alarm;

76) for the state of anti-terrorist protection of objects vulnerable to terrorism;

77) for the activities of specialized training centers for the training and advanced training of employees holding the positions of chief and security guard in a Private Security Company;

78) for the circulation of narcotic drugs, psychotropic substances and precursors;

79) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

80) for compliance with the legislation of the Republic of Kazakhstan on Tourist activities;

81) in the field of auditing activities and the activities of professional audit organizations;

82) for compliance with the legislation of the Republic of Kazakhstan on Gambling Industry;

83) for compliance with the legislation of the Republic of Kazakhstan on Commodity Exchanges;

84) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
85) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

86) for the conduct of anti-doping activities in sport;

87) in the field of accounting and financial reporting;

88) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

89) in the field of protection and use of items of historical and cultural heritage;

90) in the field of biofuel circulation;

91) in the field of biofuel production;

92) for compliance with the legislation of the Republic of Kazakhstan on Trading activities regulation;

92-1) for compliance with the legislation of the Republic of Kazakhstan on the protection of consumer rights;

93) in the field of space activities;

94) is excluded by the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication);

95) for compliance with the legislation of the Republic of Kazakhstan on Advertising;

96) in the field of architecture, urban planning and construction;

97) in the field of veterinary medicine;

98) in the field of plant protection and quarantine;

98-1) in the field of custody, protection, restoration and use of wild plants;

99) for compliance with the legislation of the Republic of Kazakhstan on Main pipelines;

100) in the field of highways;

101) in the field of protection of the rights of a child;

102) in the field of production and circulation of ethyl alcohol and alcoholic products;

103) in the field of production and circulation of tobacco products;

104) in the field of permitting control;

105) in the field of circulation of poisons, weapons, military equipment and certain types of weapons, explosive and pyrotechnic substances and products with their use;

106) in the field of industry;

107) for compliance with the rules of military registration of persons liable for military service and conscripts by organizations of military service and conscripts;

108) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

109) in the field of support and protection of business entities;

110) in the field of state statistics;

The subparagraph 111) shall be enforced after the enactment on the production of organic products in accordance with the Code of the Republic of Kazakhstan dated October 29, 2015 No. 375-V.

111) in the field of production of organic products;

112) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

113) in the field of sale of jewelry and other products made of precious metal wares and precious stones;

114) for compliance with the legislation of the Republic of Kazakhstan on Lotteries and Lottery activities;

115) for production and turnover in respect of goods subject to labeling and traceability;

116) for compliance with the legislation of the Republic of Kazakhstan on rehabilitation and bankruptcy;

117) in the field of digital assets;

118) for compliance with the legislation of the Republic of Kazakhstan on online platforms and online advertising.

Footnote. Article 138 as amended by the Law of the Republic of Kazakhstan dated April 9, 2016 No. 496-V (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated January 14, 2016 No. 445-V (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated July 26, 2016 No. 12-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated December 28, 2016 No. 34-VI (shall be enforced from January 1, 2017); dated May 6, 2017 No. 63-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated December 27, 2017 No.126-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated July 2, 2018 No. 168-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 211-VI dated 28.12.2018 (shall be enforced upon expiry of ten calendar days after its first official publication); No. 241-VI dated 02.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); No. 268-VI dated 28.10.2019 (shall be enforced since 06.01.2020); No. 289-VІ dated December 26, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); No. 290-VI dated December 27, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); dated 13.05.2020 No. 325-VІ (shall be enforced upon expiry of six months after the date of its first official publication); dated 25.06.2020 No. 346-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 07.07.2020 No. 361-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 05.01.2021 No. 409-VI (shall be enforced from 01.01.2022); dated 08.06.2021 No. 48-VII (shall be enforced from 01.01.2022); dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023); dated 27.06.2022 No. 129-VII (shall be enforced ten calendar days after the date of its first official publication); dated 28.12.2022 No. 173-VII (effective after sixty calendar days after the date of its first official publication); dated 02.01.2023 No. 184-VII (shall be enforced sixty calendar days after the date of its first official publication); dated 06.02.2023 No. 194-VII (shall be enforced from 01.04.2023); dated 20.04.2023 No. 226-VII (shall be enforced from 01.07.2023); dated 10.07.2023 No. 19-VIII (shall be enforced sixty calendar days after the date of its first official publication).

Article 139. Scope of activities of business entities in which supervision is exercised

The supervision shall be carried out:

1) in the field of airspace management of the Republic of Kazakhstan;

2) for the activities of civil aviation;

3) for international air traffic;

4) for aviation security support;

5) in the field of merchant shipping;

6) in the field of inland water transport;

7) in the field of architecture, urban planning and construction;

8) in the field of veterinary medicine;

9) in the field of plant quarantine;

10) in the field of sanitary and epidemiological welfare of the population;

10-1) in the field of technical regulation in terms of release into circulation of products for their compliance with the requirements of technical regulations;

11) for the financial market and financial organizations and in the field of financial legislation of the Republic of Kazakhstan;

12) excluded by the law of the Republic of Kazakhstan dated July 2, 2018 No. 168-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
13) excluded by the law of the Republic of Kazakhstan dated July 2, 2018 No. 168-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

14) for the activities of investment funds;

15) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
16) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
17) excluded by the law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

18) in the field of industrial safety;

19) in the field of the use of atomic energy;

20) in the field of protection, reproduction and use of the animal world;

21) in the field of protection, use of the forest fund, reforestation and afforestation;

22) in the field of specially protected natural areas.

23) in the field of fire safety.

Footnote. Article 139 as amended by the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated July 02, 2018 No. 168-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 268-VI dated October 28, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); dated 30.12.2020 No. 397-VI (shall be enforced upon expiry of six months after the date of its first official publication); dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Paragraph 2. Procedure for organizing and conducting control of the subject (object) of control and supervision

Footnote. The title of paragraph 2 - in the wording of the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 140. General issues of inspection and preventive control and supervision with a visit to the performer (target) of control and supervision

Footnote. Article 140 is excluded by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 141. Risk assessment and management system

1. Risk is the probability of causing harm as a result of the activities of the subject of control and supervision to human life or health, the environment, the legitimate interests of individuals and legal entities, the property interests of the state, taking into account the severity of its consequences.

Risk assessment refers to the activities of control and supervision bodies to measure the likelihood of harm.

2. The risk assessment and management system for the purposes of control and supervision is understood as the process of making managerial decisions aimed at reducing the likelihood of the occurrence of adverse factors specified in part one of paragraph 1 of this article by distributing the subjects (objects) of control and supervision by degrees of risk for the subsequent implementation of preventive control with a visit to the subject (object) of control and supervision and (or) inspections for compliance with the requirements for the purpose of the minimum possible degree of restriction of freedom of entrepreneurship, ensuring at the same time an acceptable level of risk in the relevant fields of activity, as well as aimed at changing the level of risk for a particular subject (object) of control and supervision and (or) releasing such a subject (object) of control and supervision from preventive control with a visit to the subject (object) of control and supervision and (or) compliance inspections.

The criterion for assessing the degree of risk is a set of quantitative and qualitative indicators related to the direct activities of the subject of control and supervision, the features of industry development and factors affecting this development, allowing the subjects (objects) of control and supervision to be attributed to various degrees of risk.

3. For the purposes of risk management, the control and supervision body, when carrying out preventive control with a visit to the subject (object) of control and supervision and (or) inspection, assigns the subjects (objects) of control and supervision to one of the following degrees of risk (hereinafter referred to as the degree of risk):

1) high risk;

2) average risk;

3) low risk.

4. For the spheres of activity of subjects (objects) of control and supervision classified as high risk, the frequency of inspections for compliance with the requirements is determined by the criteria for assessing the degree of risk, but not more than once a year.

The frequency of inspections for compliance with the requirements for subjects (objects) of control and supervision of high epidemic significance in the field of sanitary and epidemiological welfare of the population is determined no more than once every six months.

For the spheres of activity of subjects (objects) of control and supervision classified as medium risk, the frequency of inspections for compliance with the requirements is determined by the criteria for assessing the degree of risk, but not more than once every two years.

For the spheres of activity of subjects (objects) of control and supervision classified as low risk, the frequency of inspections for compliance with the requirements is determined by the criteria for assessing the degree of risk, but not more than once every three years.

For the spheres of activity of subjects (objects) of control and supervision classified as high or medium risk, inspection of compliance with the requirements, preventive control with a visit to the subject (object) of control and supervision, preventive control without visiting the subject (object) of control and supervision and unscheduled inspection are carried out.

For the spheres of activity of subjects (objects) of control and supervision classified as low risk, a compliance inspection, preventive control without visiting the subject (object) of control and supervision and an unscheduled inspection are carried out.

5. The criteria for assessing the degree of risk and checklists used to conduct preventive control with a visit to the subject (object) of control and supervision and inspections for compliance with the requirements are approved by a joint act of regulatory state bodies, the authorized body for entrepreneurship and are posted on the Internet resources of regulatory state bodies.

6. Risk assessment criteria for the selection of subjects (objects) of control and supervision, checklists are developed on the basis of the rules for the formation of a risk assessment and management system by regulatory state bodies.

7. The risk assessment and management system by regulatory state bodies is conducted using information systems for risk assessment and management, which relate subjects (objects) of control and supervision to specific degrees of risk and automatically generate schedules or lists of control measures, and is also based on state statistics, the results of departmental statistical observation, as well as information tools.

In the absence of an information system for risk assessment and management in automatic mode, the minimum allowable threshold for the number of subjects (objects) of control and supervision, in respect of which preventive control is carried out with a visit to the subject (object) of control and supervision and (or) inspection, should not exceed five percent of the total number of such subjects (objects) of control and supervision in a certain area of control and supervision.

The formation of a risk assessment and management system of control and supervision bodies using information systems in automatic mode is carried out in accordance with the rules for the formation of a risk assessment and management system by regulatory state bodies, taking into account the specifics and confidentiality of risk assessment criteria.

8. The criteria for assessing the degree of risk are the basis for determining the degree of violation of the requirements established in the checklists in accordance with paragraph 2 of Article 132 and paragraph 3 of Article 143 of this Code and are the subject of preventive control with a visit to the subject (object) of control and supervision and (or) verification of compliance with the requirements.

Violations of the requirements, depending on the severity, are divided into gross, significant and minor.

The attribution of violations of the requirements established in the checklists in accordance with paragraph 2 of Article 132 and paragraph 3 of Article 143 of this Code to gross, significant or minor violations is carried out in accordance with the rules for the formation of a risk assessment and management system by regulatory state bodies.

9. Subjects (objects) of control and supervision are transferred using an information system from a high degree of risk to an average degree of risk or from an average degree of risk to a low degree of risk in the relevant fields of activity of subjects of control and supervision in the following cases:

1) if such entities have concluded insurance contracts of civil liability to third parties in the cases and in the manner prescribed by the laws of the Republic of Kazakhstan;

2) if the laws of the Republic of Kazakhstan and the criteria for assessing the degree of risk of regulatory state bodies define cases of exemption from preventive control with a visit to the subject (object) of control and supervision or inspections;

3) if the subjects are members of a self-regulating organization based on voluntary membership (participation) in accordance with the Law of the Republic of Kazakhstan "On Self-Regulation", with which an agreement has been concluded on the recognition of the results of the activities of the self-regulating organization.

10. Regulatory state bodies, when exercising control and supervision over a member (participant) of a self-regulatory organization based on voluntary membership (participation), take into account the fact of such membership (participation) in the criteria for assessing the degree of risk as a mitigating indicator, taking into account the concluded agreement on the recognition of the results of the activities of a self-regulatory organization in the manner determined by the authorized body for entrepreneurship.

The provisions of part one of this paragraph, as well as subparagraph 3) of paragraph 9 of this Article do not apply to the spheres of national security of the Republic of Kazakhstan, defense, public order.

11. Determination of forms of control of subjects (objects) of control and supervision is carried out by regulatory state bodies for each sphere of activity in which control is carried out.

Footnote. Article 141 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 142. Departmental accounting

Footnote. Article 142 excluded by the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 143. Checklists

1. The regulatory state body and the authorized body for entrepreneurship for homogeneous groups of subjects (objects) of control and supervision shall approve the checklists by a joint act.

The approved checklists are posted on the Internet resources of the regulatory state bodies.

2. The checklist includes a list of mandatory requirements for the activities of subjects (objects) of control and supervision, non-compliance with which entails a threat to human life and health, the environment, the legitimate interests of individuals and legal entities, the state.

The checklist is compiled in a breakdown for homogeneous groups of subjects (objects) of control and supervision.

Homogeneous groups are understood as subjects (objects) of control and supervision, to which the same requirements are imposed.

3. Only the requirements set out in the checklists are subject to verification and preventive control with a visit to the subject (object) of control and supervision.

The requirements included in the checklist must meet all of the following criteria at the same time:

1) be associated with an activity (process, action) that directly (directly) affects the life, health of people, protection of their property, safety for the environment, national security of the Republic of Kazakhstan, including economic security, protection of constitutional rights, freedoms and legitimate interests of individuals and legal entities, the state;

2) compliance with the requirements can be checked by visualization, laboratory examination, inspection, verification of the availability of supporting documents;

3) the requirements may not be general in nature and contain a reference to other regulatory legal acts;

4) avoiding duplication of the requirement by several regulatory state bodies.

Footnote. Article 143 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 144. Procedure for organizing inspections

1. Inspections for compliance with the requirements are carried out using risk assessment criteria with the frequency established by paragraph 4 of Article 141 of this Code.

Qualification or licensing requirements, as well as requirements within the framework of the notification procedure, are established by the legislation of the Republic of Kazakhstan.

2. The ground for appointment of a compliance inspection is the schedule generated by the risk assessment and management information system in automatic mode.

In the absence of an automated information system for risk assessment and management, the schedule is approved by the regulatory state body.

The schedule is formed in the information system of risk assessment and management in automatic mode on an annual basis in respect of subjects (objects) of control and supervision with mandatory indication of subjects (objects) of control and supervision, in respect of which a compliance inspection is scheduled.

When the control and supervision body draws up a schedule of inspections for compliance with the requirements and semi-annual lists of preventive control with visits to the subject (object) of control and supervision in respect of the same subjects (objects) of control and supervision, uniform deadlines for the period of their conduct are established.

3. The control and supervision body is obliged to notify in writing the subject of control and supervision (the head of a legal entity or his authorized person, an individual) of the start of the compliance inspection at least thirty calendar days before the start of the inspection, indicating the date of its start.

In the case when the subject of control and supervision has received notification of the beginning of the inspection, but at the time of the inspection has passed the state re-registration in accordance with paragraph 6 of Article 42 of the Civil Code of the Republic of Kazakhstan, a repeated notification of the beginning of the inspection is not required.

The provisions of this paragraph do not apply to inspections of the subjects of control and supervision handling pathogenic biological agents of I and (or) II pathogenicity groups.

4. An unscheduled inspection is an inspection appointed by the control and supervision body on specific facts and circumstances that served as the ground for the appointment of an unscheduled inspection in relation to a specific subject (object) of control and supervision, in order to prevent and (or) eliminate an immediate threat to human life and health, the environment, the legitimate interests of individuals and legal entities, the state.

When conducting an unscheduled inspection, except for the cases provided for in sub-paragraphs 3), 4), 7) and 8) of paragraph 5, paragraphs 8, 9 and 10 of this article, the control and supervision body is obliged to notify the subject of control and supervision of the beginning of an unscheduled inspection of the subject (object) of control and supervision for at least a day before its start, indicating the subject of the inspection of the subject (object) of control and supervision.

5. The grounds for an unscheduled inspection of subjects (objects) of control and supervision are:

1) control over the execution of instructions on the elimination of identified gross violations defined in the criteria for assessing the degree of risk, as a result of inspection of compliance with the requirements and preventive control with a visit to the subject (object) of control and supervision;

2) control over the execution of instructions on the elimination of identified significant and minor violations defined in the risk assessment criteria, as a result of inspection of compliance with the requirements and preventive control with a visit to the subject (object) of control and supervision in cases where the subject of control and supervision more than once did not provide information on the elimination of identified violations and (or) did not eliminate violations;

3) appeals of individuals and legal entities on violations of the requirements of the legislation of the Republic of Kazakhstan in the presence of convincing grounds and supporting evidence;

4) instructions from the prosecutor's office on specific facts of causing or about the threat of harm to life, human health, the environment and the legitimate interests of individuals and legal entities, the state;

5) appeals of state bodies on specific facts of harm to life, human health, the environment and the legitimate interests of individuals and legal entities, the state, as well as violations of the requirements of the legislation of the Republic of Kazakhstan, non-removal of which entails harm to human life and health;

6) repeated inspection related to the application of the subject of control and supervision on disagreement with the initial inspection (illegality of the use of rapid response measures);

7) assignment of the criminal prosecution body on the grounds provided for by the Criminal Procedure Code of the Republic of Kazakhstan;

8) taxpayer's appeals, information and issues defined by the Code of the Republic of Kazakhstan "On taxes and other obligatory payments to the budget" (Tax Code).

6. Unscheduled inspections are not carried out in cases of anonymous appeals.

7. The facts and circumstances revealed in relation to specific subjects (objects) of control and supervision and which served as the ground for the appointment of this unscheduled inspection are subject to unscheduled inspection.

8. In the event of a threat of the spread of an epidemic, foci of quarantine facilities and especially dangerous harmful organisms, infectious, parasitic diseases, poisoning, radiation accidents, an unscheduled inspection of facilities is carried out without prior notification of the subject of control and supervision and registration of the act on the appointment of the inspection, followed by its submission within the next working day to the authorized body for legal statistics and special records.

9. If the grounds for carrying out an unscheduled inspection are identified at the facilities or at the subjects of control and supervision located at a considerable distance from the location of the control and supervision bodies, as well as the authorized body for legal statistics and special records, an unscheduled inspection is carried out without prior notification of the subject of control and supervision and registration of the act on the appointment of the inspection, followed by its submission within the next five working days to the authorized body for legal statistics and special records.

A significant distance from the location of the controlling and registering bodies is considered to be a distance exceeding one hundred kilometers from the place of registration of the act on the appointment of an unscheduled inspection to the place of its conduct.

10. Unscheduled inspections on the production (formulation), transportation, storage, sale and use of falsified pesticides, as well as the production, purchase, transportation, storage, sale of falsified medicines and medical devices, as well as the handling of pathogenic biological agents of I–II pathogenicity groups are carried out without prior notification of the subject of control and supervision.

11. The grounds listed in paragraph 5 of this Article for conducting an unscheduled inspection shall also apply to structural divisions of state bodies, structural divisions of non-resident legal entities, non-resident legal entities operating without registration with the judicial authorities or the registering authority.

12. The decision to suspend the state control and supervision over private business entities for a certain period is taken by the Government of the Republic of Kazakhstan.

13. It is prohibited to conduct other types of inspections not established by this Code, with the exception of inspections provided for by the Code of the Republic of Kazakhstan "On taxes and other obligatory payments to the budget" (Tax Code).

Footnote. Article 144 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 144-1. Preventive control without visiting the subject (object) of control and supervision

1. Preventive control without visiting the subject (object) of control and supervision is carried out by control and supervision bodies on the basis of studying and analyzing the reports, submitted by the subject of control and supervision, information from authorized state bodies, as well as those received from state information systems and electronic information resources, and other documents and information about the activities of the subject (object) of control and supervision.

2. In order to carry out preventive control without visiting the subject (object) of control and supervision, the laws of the Republic of Kazakhstan define the procedure for conducting preventive control without visiting the subject (object) of control and supervision with mandatory indication of objectives, tools, methods of conducting, list of subjects (objects), frequency of conducting, method of observation of the subject (object) of control and supervision.

3. Preventive control without visiting the subject (object) of control and supervision is carried out in accordance with this Code and other laws of the Republic of Kazakhstan in compliance with all the following conditions:

1) control and supervision bodies are prohibited from visiting subjects (objects) of control and supervision;

2) registration with the authorized body in the field of legal statistics and special records and prior notification of the subject of control and supervision are not required;

3) based on the results of preventive control without visiting the subject (object) of control and supervision, final documents (certificate, conclusion, recommendations and others) are compiled without initiating a case of an administrative offense in case of a violation, but with a mandatory explanation to the subject of control and supervision of the procedure for its elimination.

4. The results of the analysis of preventive control without visiting the subject (object) of control and supervision are the basis for the selection of subjects (objects) of control and supervision for preventive control with a visit to the subject (object) of control and supervision.

Footnote. Chapter 13 is supplemented by Article 144-1 in accordance with the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 144-2. Preventive control with a visit to the subject (object) of control and supervision

1. Preventive control with a visit to the subject (object) of control and supervision is a control that the control and supervision bodies carry out with a visit to the subject (object) of control and supervision, and according to the results of which, if violations are detected, the subjects of control and supervision are ordered to eliminate them without initiating administrative proceedings, as well as in cases provided for by the laws of the Republic of Kazakhstan apply rapid response measures.

Preventive control with a visit to the subject (object) of control and supervision in relation to a specific subject (object) of control and supervision is carried out provided that in the year preceding this control, preventive control was carried out in relation to this subject (object) of control and supervision without visiting the subject (object) of control and supervision in accordance with paragraph 5 of Article 131 and Article 144-1 of this Code.

2. The frequency of preventive control with a visit to the subject (object) of control and supervision is determined by the control and supervision bodies in relation to subjects (objects) of control and supervision classified as high and medium risk, no more than twice a year.

3. In order to carry out preventive control with a visit to the subject (object) of control and supervision, regulatory state bodies shall develop and, together with the authorized body for entrepreneurship, approve acts concerning risk assessment criteria for the selection of subjects (objects) of control and supervision, checklists that are posted on the Internet resources of regulatory state bodies and other digital platforms with the provision of a security regime.

4. The basis for the appointment of preventive control with a visit to the subject (object) of control and supervision is a semi-annual list of subjects (objects) of control and supervision approved by the first head of the regulatory state body or local executive body, except in the case of the formation of schedules and semi-annual lists in information systems for risk assessment and management in automatic mode.

Semi-annual lists of preventive control with a visit to the subject (object) of control and supervision are formed in relation to the subjects of control and supervision with mandatory indication of the objects in respect of which preventive control with a visit to the subject (object) of control and supervision is assigned.

By December 10 of the year preceding the year of preventive control with a visit to the subject (object) of control and supervision, and by May 10 of the current calendar year, the control and supervision bodies send the approved semi-annual lists of preventive control with a visit to the subject (object) of control and supervision, including in electronic form, to the authorized body in the field of legal statistics and special records for the formation of a semi-annual consolidated list of preventive control with a visit to the subject (object) of control and supervision, with the exception of the case of the formation of schedules and semi-annual lists in the information systems of risk assessment and management in automatic mode.

The form of semi-annual lists of preventive control with a visit to the subject (object) of control and supervision is determined by the Prosecutor General's Office of the Republic of Kazakhstan.

Amendments to the semi-annual lists of preventive control with a visit to the subject (object) of control and supervision are made in accordance with the procedure determined by the Prosecutor General's Office of the Republic of Kazakhstan.

The authorized body in the field of legal statistics and special records places a semi-annual consolidated list of preventive control with a visit to the subject (object) of control and supervision on the Internet resource of the Prosecutor General's Office of the Republic of Kazakhstan until December 25 of the year preceding the year of preventive control with a visit to the subject (object) of control and supervision, and until May 25 of the current calendar year.

On the basis of the semi-annual list of preventive control with a visit to the subject (object) of control and supervision, the control and supervision body is obliged to notify in writing the subject of control and supervision (the head of a legal entity or his authorized person, an individual) about the beginning of preventive control with a visit to the subject (object) of control and supervision at least thirty calendar days prior to its start, indicating the date.

The notification of the beginning of preventive control with a visit to the subject (object) of control and supervision is handed over on purpose, sent in the form of a registered mail with a notification of delivery or by means of an electronic document signed by means of an electronic digital signature to the e-mail address of the subject of control and supervision, if such an address was previously submitted by this subject to the control and supervision body, or in any other available way.

If the subject of control and supervision, who received notification of the beginning of preventive control with a visit to the subject (object) of control and supervision, at the time of preventive control with a visit to the subject (object) of control and supervision has passed state re-registration in accordance with paragraph 6 of Article 42 of the Civil Code of the Republic of Kazakhstan, the repeated notification of the beginning of preventive control with a visit to the subject (object) of control and supervision is not required.

The provisions of parts seven, eight and nine of this paragraph do not apply to preventive control with a visit to subjects of control and supervision that handle pathogenic biological agents of I and (or) II pathogenicity groups.

5. Following the results of preventive control with a visit to the subject (object) of control and supervision, if violations are detected, the control and supervision body issues an order to the subject (object) of control and supervision on their elimination, indicating the timing of elimination.

Based on the results of preventive control with a visit to the subject (object) of control and supervision, rapid response measures may be applied without bringing to administrative responsibility in accordance with Article 136 of this Code.

6. The provisions of this Article do not apply when carrying out preventive control with a visit to the subject (object) of control and supervision of compliance with the maximum permissible retail prices for socially significant food products.

Footnote. Chapter 13 is supplemented by Article 144-2 in accordance with the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 144-3. Control purchase

1. The control purchase is understood as the implementation by the control and supervision body of the purchase within the control of products in the form of goods.

Control purchase is an independent type of preventive control, the procedure for which is determined by the legislation of the Republic of Kazakhstan and this article.

2. The control purchase is carried out in order to identify the fact of the sale of products that do not meet the requirements established by regulatory legal acts and (or) regulatory technical documents.

3. The control purchase is confirmed by a payment document containing information on the list of purchased products and the name of the subject (object) of control and supervision.

4. Based on the results of the control purchase, the control and supervision bodies carry out a study of the purchased products for compliance with the requirements established by regulatory legal acts and (or) regulatory technical documents, with the possibility of subsequent application of prohibitive and restrictive measures in accordance with part two of Article 153 of this Code.

5. Control purchase is carried out in those areas of activity where the laws of the Republic of Kazakhstan explicitly provide for this type of preventive control.

6. Expenses, related to the control purchase and research of purchased products are covered at the expense of budgetary funds.

Footnote. Chapter 13 is supplemented by Article 144-3 in accordance with the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 144-4. Investigation

1. Investigation is an independent form of control, the implementation of which is defined by this article.

2. The objectives of the investigation are:

1) establishing the reasons of violation of the requirements of the legislation of the Republic of Kazakhstan and taking appropriate measures;

2) determination of subjects (objects) of control and supervision that have committed violations of the requirements of the legislation of the Republic of Kazakhstan.

3. The grounds for conducting an investigation are:

1) appeals of individuals and (or) legal entities, as well as state bodies on specific facts of harm to life, human health, the environment and the legitimate interests of individuals and legal entities, the state in cases where such a fact has affected a wide range of persons and it is required to establish a specific subject (object) of control and supervision that has committed violations;

2) information (emergency notification) on the occurrence of death in accordance with the Code of the Republic of Kazakhstan "On the health of the people and the healthcare system";

3) information (emergency notification) submitted by state bodies or business entities on the occurrence and spread of an epidemic, falsified and unregistered pesticides, veterinary drugs, feed additives, foci of quarantine facilities and especially dangerous harmful organisms, infectious, parasitic diseases, poisoning, radiation accidents;

4) cases of damage to the health of employees related to their work and resulting in disability or death;

5) accidents, technological violations or incidents for which there is a need to clarify the circumstances preceding them, to establish their causes, the nature of violations of the operating conditions of technical devices, technological processes, violations of industrial safety requirements in the field of electric power, to determine measures to eliminate the consequences and prevent such accidents, technological violations or incidents, material damage, caused by an accident, technological disruption or incident;

6) the results of a product study based on the results of a control purchase in case of detection of a violation of the requirements established by regulatory legal acts and (or) regulatory technical documents that pose a danger to life, human health and the environment.

4. If there are grounds specified in paragraph 3 of this article, the control and supervision body decides to conduct an investigation.

5. The procedure for conducting an investigation is established by the legislation of the Republic of Kazakhstan.

The procedure for conducting an investigation should include:

1) cases in which an investigation is conducted;

2) terms and duration of the investigation;

3) the terms of notification of the subject of control and supervision, the authorized body in the field of legal statistics and special records, interested state bodies about the beginning of the investigation;

4) the procedure for attracting independent experts and other interested persons;

5) conditions and procedure for the formation of the investigation commission;

6) the procedure for registration of investigation materials.

6. The terms of the investigation should not exceed thirty calendar days and may be extended only once for thirty calendar days.

7. Based on the results of the investigation, the control and supervision bodies define the subject (subjects) of control and supervision who allowed (allowed) violation of the requirements of the legislation of the Republic of Kazakhstan, which became the basis for the investigation.

Following the results of the investigation, measures provided for by the laws of the Republic of Kazakhstan are taken against the subject of control and supervision who committed a violation.

The results of the investigation are published on the Internet resource by the control and supervision body, with the exception of information constituting state secrets or other secret protected by the laws of the Republic of Kazakhstan.

8. The investigation is carried out in those areas of activity where the laws of the Republic of Kazakhstan explicitly provide for such a form of control.

Footnote. Chapter 13 is supplemented by Article 144-4 in accordance with the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 145. An act on appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection

1. Preventive control with a visit to the subject (object) of control and supervision and (or) inspection shall be carried out on the basis of an act of the control and supervision body on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

2. The act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection shall specify:

1) number and date of the act;

2) name of the state body;

3) surname, first name, patronymic (if it is indicated in the identity document) and the position of the person (persons) authorized (authorized) to conduct preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

4) information about specialists, consultants and experts involved in carrying out preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

5) the name of the subject of control and supervision or the surname, first name, patronymic (if it is indicated in the identity document) of the individual in respect of whom preventive control is scheduled with a visit to the subject (object) of control and supervision and (or) inspection, its location, identification number, list of objects of control and supervision, a sector of territory;

6) the subject of the prescribed preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

7) the period of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

8) the grounds for conducting preventive control with a visit to the subject (object) of control and supervision and (or) inspection, including regulatory legal acts, mandatory requirements of which are subject to preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

9) the period of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

10) the rights and obligations of the subject of control and supervision provided for in Article 155 of this Code;

11) the signature of the person authorized to sign the acts and the seal of the state body;

12) signature of the head of the legal entity or his authorized person, an individual on receipt or refusal to receive an act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

Footnote. Article 145 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 146. Registration of an act on appointment, an additional act on extension of the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection

1. An act of appointment, an additional act of extending the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, with the exception of counter inspections carried out by state revenue bodies in accordance with the Code of the Republic of Kazakhstan "On taxes and other obligatory payments to the budget" (Tax Code), in mandatory procedure are registered with the authorized body in the field of legal statistics and special records.

An act of appointment, an additional act of extension of the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspections are registered in relation to the subject of control and supervision with mandatory indication of the subjects (objects) of control and supervision.

The state revenue bodies, when conducting counter inspections provided for by the Code of the Republic of Kazakhstan "On taxes and other obligatory payments to the budget" (Tax Code), notify the authorized body in the field of legal statistics and special records at the location of the subject (object) of control and supervision.

Registration of an act on appointment, an additional act on extending the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection is of an accounting nature and is used to form and improve departmental risk assessment and management systems.

2. An act of appointment, an additional act of extension of the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection shall be registered by the control and supervision body before the start of preventive control with a visit to the subject (object) of control and supervision and (or) inspection in the authorized body in the field of legal statistics and special records by submitting them, including in electronic form, to the territorial body of the authorized body in the field of legal statistics and special records at the location of the subject (object) of control and supervision.

The act on the appointment of an unscheduled inspection on the grounds provided for in subparagraphs 3), 4), 7) and 8) of paragraph 5, paragraphs 8, 9 and 10 of Article 144 of this Code is registered with the authorized body in the field of legal statistics and special records by submitting it, including in electronic form, to the territorial body of the authorized body in the field of legal statistics and special records at the location of the subject (object) of control within the next working day after the day of the start of the unscheduled inspection.

When registering an act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection by the control and supervision body, checklists (if any) are presented indicating the points of requirements subject to preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

The procedure for registration of acts on appointment, additional acts on the extension of the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, refusal to register and cancel them, notifications of suspension, renewal, extension of the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the change in the composition of participants and the submission of information accounting documents on preventive control with a visit to the subject (object) of control and supervision and (or) inspection and their results is determined by the Prosecutor General's Office of the Republic of Kazakhstan.

3. In the case when the need for preventive control with a visit to the subject (object) of control and supervision and (or) inspection caused by the current socio-economic situation requiring immediate elimination of threats to public order, public health and national interests of the Republic of Kazakhstan is provided for by other laws of the Republic of Kazakhstan, as well as during preventive control with a visit to the subject (object) control and supervision and (or) inspection at off-hours (night time, weekends or holidays) due to the need to suppress violations immediately at the time of their commission and urgent actions to consolidate evidence, registration of acts on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection is carried out in the authorized body in the field of legal statistics and special records within the next working day after the start of the preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

Footnote. Article 146 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 147. Actions of officials of control and supervision bodies in the preventive control with a visit to the subject (object) of control and supervision and (or) inspection

1. Officials of the control and supervision body who arrived at the facility for preventive control with a visit to the subject (object) of control and supervision and (or) inspection, must present to the subject of control and supervision:

1) an act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection with a note on registration with the authorized body in the field of legal statistics and special records, unless otherwise provided by this Code;

2) official identification card or identification card;

3) if necessary – permission of the competent authority to visit sensitive facilities;

4) a medical permit, the presence of which is necessary for visiting facilities, issued in accordance with the procedure determined by the authorized body in the field of healthcare.

2. The beginning of preventive control with a visit to the subject (object) of control and supervision and (or) inspection is the date of delivery to the subject of control and supervision (the head of a legal entity or his authorized person, an individual) of the act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, unless otherwise specified by this Code, as well as familiarization of the subject of control and supervision with the checklist (if available) with the indication of the points of requirements, subject to preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

3. In cases of refusal to accept an act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, familiarization with the checklist, as well as obstructing the access of an official of the body carrying out preventive control with a visit to the subject (object) of control and supervision and (or) inspection to the materials necessary to carry out preventive control with a visit to the subject (object) of control and supervision and (or) inspection, a protocol on an administrative offense is drawn up, provided for by Article 462 of the Code of the Republic of Kazakhstan "On Administrative Offenses".

The protocol is signed by an official of the control and supervision body carrying out preventive control with a visit to the subject (object) of control and supervision and (or) inspection, and the head of the legal entity or its authorized person, an individual.

The head of a legal entity or his authorized person, an individual, has the right to refuse to sign the protocol by giving a written explanation of the reason for refusal.

Refusal to receive an act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection is not a reason for the cancellation of preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

Preventive control with a visit to the subject (object) of control and supervision and (or) inspection may be carried out only by the official (persons) who are indicated (indicated) in the act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

At the same time, the composition of officials conducting preventive control with a visit to the subject (object) of control and supervision and (or) inspection may be changed by the decision of the control and supervision body, about which the subject of control and supervision and the authorized body in the field of legal statistics and special records is notified before participating in preventive control with a visit to the subject of control and supervision and (or) inspection of persons not specified in the act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, indicating the reason for the replacement.

4. If it is necessary to simultaneously carry out preventive control with a visit to the subject (object) of control and supervision and (or) inspection of several subjects of control and supervision on the same range of issues by one control and supervision body, this body is obliged to issue an act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection on each subject of control and supervision and register it with the authorized body in the field of legal statistics and special records, with the exception of a tax audit conducted on the issues of:

1) registration with tax authorities;

2) availability of cash registers or a three-component integrated system;

3) availability and authenticity of identification means and accounting and control marks;

4) the presence of accompanying invoices for goods and compliance of the name, quantity (volume) of goods with the information specified in the accompanying invoices for goods:

when moving, selling and (or) shipping goods on the territory of the Republic of Kazakhstan;

when importing goods into the territory of the Republic of Kazakhstan from the territory of states that are not members of the Eurasian Economic Union and member states of the Eurasian Economic Union;

when exporting goods from the territory of the Republic of Kazakhstan to the territory of states that are not members of the Eurasian Economic Union and member states of the Eurasian Economic Union;

5) availability of a license;

6) availability of equipment (device) intended for making payments using payment cards;

7) the availability of consignment notes for imported goods and the conformity of the name of the goods with the information specified in the consignment notes when checking motor vehicles at transport control posts or internal affairs bodies;

8) the availability of documents provided for by regulatory legal acts of the Republic of Kazakhstan adopted in the implementation of international treaties ratified by the Republic of Kazakhstan when exporting goods from the territory of the Republic of Kazakhstan to the territory of the member states of the Eurasian Economic Union and the conformity of goods with the information specified in the documents.

Footnote. Article 147 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 148. Terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection

1. The terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection are established taking into account the volume of upcoming work, as well as the tasks set and should not exceed:

1) for microenterprise entities – no more than five working days and with an extension of up to five working days;

2) for subjects of small, medium and large entrepreneurship, as well as subjects of control and supervision that are not subjects of private entrepreneurship:

when carrying out preventive control with a visit to the subject (object) of control and supervision and (or) inspection of compliance with the requirements – no more than fifteen working days and with an extension for a period of no more than fifteen working days;

during unscheduled inspections – no more than ten working days and with an extension of up to ten working days.

2. The terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection may be extended only once within the time limits specified in paragraph 1 of this Article by the head of the control and supervision body (or a person performing his duties) only if necessary for:

1) obtaining information from foreign state bodies within the framework of international treaties of the Republic of Kazakhstan;

2) establishing the location of the person in respect of whom preventive control is carried out with a visit to the subject (object) of control and supervision and (or) inspection;

3) obtaining the results of laboratory tests.

In case of extension of the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the control and supervision body draws up an additional act on the extension of preventive control with a visit to the subject (object) of control and supervision and (or) inspection with registration with the authorized body in the field of legal statistics and special records, in which the number and date of registration of the previous act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection and the reason for the extension are indicated.

In case of extension of the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the control and supervision body must notify the subject of control and supervision (the head of a legal entity or his authorized person, an individual), except for the case provided for in subparagraph 2) part one of this paragraph.

Notification of the extension of the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection is sent by the control and supervision body one working day before the extension in the form of a registered mail with a notification of delivery or by means of an electronic document signed by means of an electronic digital signature to the e-mail address of the subject of control and supervision, if such an address was previously submitted by this subject to the control and supervision body, or in another available way.

Footnote. Article 148 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 149. Procedure for sampling products

1. Sampling of products is carried out during preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

The number of selected product samples is determined in accordance with the requirements of regulatory legal acts and regulatory documents of the Republic of Kazakhstan for products and product testing methods.

2. Sampling of products is carried out by an official of the control and supervision body in the presence of the head or representative of the subject of control and supervision and an authorized person of the subject of control and supervision and is certified by the act of sampling of products.

The selected product samples must be completed, packed and sealed (sealed).

3. The act of sampling of products is drawn up in three copies. All copies of the act are signed by the official of the control and supervision body who selected the product samples, and the head or representative of the subject of control and supervision and the authorized person of the subject of control and supervision.

One copy of the act of sampling of products, together with the reference and samples of products selected properly, is sent to the organization authorized by the legislation of the Republic of Kazakhstan for examination (analysis, testing).

The second copy of the product sampling act remains with the subject of control and supervision.

The third copy of the act of sampling of products is kept by the official of the control and supervision body that carried out the sampling of products.

The act of sampling of products indicates:

1) place and date of compilation;

2) the number and date of the decision of the head of the control and supervision body, on the basis of which the sampling of products is carried out;

3) positions, surnames, first names and patronymics (if they are indicated in identity documents) of officials of the control and supervision body carrying out the sampling of products;

4) the name and location of the subject (object) of control and supervision from which product samples are taken;

5) position and surname, first name, patronymic (if it is indicated in the identity document) of the head or representative of the subject of control and supervision and the authorized person of the subject of control and supervision;

6) list and number of selected product samples with indication of the manufacturer, date of production, batch number, total cost of samples;

7) type of packaging and seal number.

4. The costs associated with the selection of product samples are financed from budgetary funds.

Footnote. Article 149 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 150. Act on sampling of products

Footnote. Article 150 is excluded by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 151. Restrictions on carrying out preventive control with a visit to the subject (object) of control and supervision and (or) inspection

When conducting preventive control with a visit to the subject (object) of control and supervision and (or) inspection, officials of the control and supervision body are not entitled to:

1) check the fulfillment of requirements not established in the checklists of this control and supervision body, as well as if such requirements do not fall within the competence of the state body on whose behalf these officials act;

2) require the provision of documents, information, product samples, samples of environmental objects and production environment objects, if they are not objects of preventive control with a visit to the subject (object) of control and supervision and (or) inspection or do not relate to the subject of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

3) take samples of products, samples of examination of environmental objects and objects of the production environment for their research, testing, measurements without registration of the act on the selection of these samples, samples in the prescribed form and (or) in an amount exceeding the norms established by national standards, rules for sampling, sampling and methods of their research, testing, measurements, technical regulations or other normative technical documents, rules and methods of research, testing, measurements valid until the date of their entry into force;

4) disclose and (or) disseminate information obtained as a result of preventive control with a visit to the subject (object) of control and supervision and (or) inspection and constituting a commercial, tax or other secret protected by law, except for cases provided for by the laws of the Republic of Kazakhstan;

5) exceed the established deadlines for preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

6) carry out preventive control with a visit to the subject (object) of control and supervision and (or) inspection of the subject (object) of control and supervision, in respect of which preventive control was previously carried out with a visit to the subject (object) of control and supervision and (or) inspection by its superior (subordinate) body or other state body for one and the same issue for the same period, except for the cases provided for in the sub-paragraphs 3), 4), 5), 6), 7) and 8) of paragraph 5 of Article 144 of this Code;

7) carry out measures of a costly nature in order to carry out preventive control with a visit to the subject (object) of control and supervision and (or) inspection at the expense of the subjects of control and supervision.

Footnote. Article 151 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 152. Procedure for registration of the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection

1. Based on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection by an official of the control and supervision body, the following are compiled:

1) an act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

2) an order to eliminate the identified violations in cases of violations.

2. The act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection shall specify:

1) date, time and place of drawing up the act;

2) name of the control and supervision body;

3) the date and number of the act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection (additional act on the extension of the term, if any), on the basis of which preventive control was carried out with a visit to the subject (object) of control and supervision and (or) inspection;

4) surname, first name, patronymic (if it is indicated in the identity document) and the position of the person(s) who conducted (conducted) preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

5) name or surname, first name, patronymic (if it is indicated in the identity document) of the subject of control and supervision, the position of the representative of an individual or legal entity who was present during the preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

6) date, place and period of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

7) information on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, including the violations identified, their nature;

8) name of the checklist and the points of the requirements for which violations were revealed;

9) information on familiarization or refusal to familiarize with the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection of representatives of the subject of control and supervision, as well as persons who were present during the preventive control with a visit to the subject (object) of control and supervision and (or) inspection, their signatures or refusal to sign;

10) signature of the official (persons) who conducted (conducted) preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

3. The act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection shall be accompanied by:

1) an order to eliminate the identified violations in case of violations;

2) acts of sampling of products, surveys of environmental objects and industrial environment objects, protocols (conclusions) of conducted studies (tests) and examinations and other documents or copies thereof related to the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, if available.

4. For each act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, during which violations of the points of the requirements of the checklists were revealed, only one order on the elimination of the detected violations may be issued.

5. The forms of the act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, orders on the elimination of violations identified are approved by the Prosecutor General's Office of the Republic of Kazakhstan, with the exception of the act (notifications) on the appointment and results of inspections carried out by state revenue bodies.

6. The order on elimination of the revealed violations specifies:

1) date, time and place of drawing up the instruction;

2) name of the control and supervision body;

3) surname, first name, patronymic (if it is indicated in the identity document) and the position of the person(s) who conducted (conducted) preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

4) the name or surname, first name, patronymic (if it is indicated in the identity document) of the subject of control and supervision, the position of the representative of an individual or legal entity who was present during the preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

5) date, place and period of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

6) a list of identified violations in accordance with the points of the requirements of the checklist with mandatory indication of the severity of the violation in accordance with the subjective criteria for assessing the degree of risk;

7) instructions for the elimination of identified violations, indicating the timing of their elimination;

8) information on familiarization or refusal to familiarize with the instruction of the representative of the subject of control and supervision (the head of a legal entity or its authorized person, an individual), as well as persons who were present during preventive control with a visit to the subject (object) of control and supervision and (or) verification, their signatures or refusal to sign;

9) signature of the official (persons) who conducted (conducted) preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

7. The terms of execution of the order on elimination of the revealed violations are determined taking into account the circumstances affecting the real possibility of its execution, but not less than ten calendar days from the date of delivery of the order on elimination of the revealed violations.

Deadlines for the elimination of detected violations are established by the laws of the Republic of Kazakhstan.

When determining the deadlines for the execution of the order to eliminate the identified violations , the following are taken into account:

1) the subject of control and supervision has organizational, technical and financial capabilities to eliminate violations;

2) features of the technical condition of the production facilities used;

3) deadlines for obtaining the appropriate permission from state bodies, local executive bodies or submitting a notification provided for in Annexes 1, 2 and 3 to the Law of the Republic of Kazakhstan "On Permits and Notifications", as well as other mandatory conclusions, approvals and other documents established by the laws of the Republic of Kazakhstan.

If additional time and (or) financial costs are necessary, the subject of control and supervision has the right to apply to the control and supervision body that carried out preventive control no later than three working days from the date of delivery of the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) an inspection and an order to eliminate the detected violations with a visit to the subject (object) of control and supervision and (or) an inspection, with an application for an extension of the deadlines for eliminating the identified violations.

In the application, the subject of control and supervision is obliged to state the measures that will be taken to eliminate the identified violations, and the objective reasons for extending the terms of their elimination.

The control and supervision body that carried out preventive control with a visit to the subject (object) of control and supervision and (or) inspection, within three working days from the date of receipt of the application, taking into account the arguments set out in the application for the extension of the time limits for the elimination of identified violations, decides to extend the time limits for the elimination of identified violations or refuse to extend with a reasoned justification.

8. An act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, an order to eliminate the detected violations shall be drawn up in triplicate.

The first copy of the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, instructions on the elimination of detected violations shall be submitted electronically by the control and supervision body to the authorized body in the field of legal statistics and special records and its territorial bodies, the second copy on paper under signature or in electronic form is handed over to the subject of control and supervision (the head of the legal entity or his authorized person, to an individual) for familiarization and taking measures to eliminate the identified violations and other actions, the third remains with the control and supervision body.

An act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, an instruction on the elimination of detected violations, formed in electronic form, at the choice of the subject of control and supervision, are submitted via the web portal "electronic government" or information systems of the authorized body in the field of legal statistics and special records.

An act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, an order for the elimination of detected violations, formed in electronic form, are sent to the e-mail address specified by the subject of control and supervision.

9. If there are comments and (or) objections based on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the head of the legal entity or an individual or their representatives shall state comments and (or) objections in writing.

Comments and (or) objections are attached to the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, about which a corresponding note is made.

10. The seizure of original accounting and other documents is prohibited, unless otherwise provided by part two of this paragraph.

The seizure of original documents are carried out in accordance with the norms of the Criminal Procedure Code of the Republic of Kazakhstan, as well as in cases provided for by the Code of the Republic of Kazakhstan on Administrative Offenses.

11. In the absence of violations of the requirements established by the legislation of the Republic of Kazakhstan, when conducting preventive control with a visit to the subject (object) of control and supervision and (or) inspection, a corresponding entry is made in the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

12. The end of the period of preventive control with a visit to the subject (object) of control and supervision and (or) inspection is the day of delivery to the subject of control and supervision of the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection no later than the end date of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, specified in the act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection (additional act on the extension of the period, if any).

13. After the expiration of the period for the elimination of the identified violations specified in the order on the elimination of the identified violations, the subject of control and supervision, within the period specified in this order, is obliged to provide to the control and supervision body that conducted preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the information on the elimination of the identified violations.

14. If the subject of control and supervision fails to provide information on the execution of the order on the elimination of violations identified by the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the control and supervision body within two working days sends the subject of control and supervision a request for the need to provide information on the execution of the order.

In case of failure to provide information on the execution of the order to eliminate the identified violations in accordance with part one of this paragraph, the control and supervision body has the right to appoint an unscheduled inspection in accordance with subparagraphs 1) and 2) of paragraph 5 of Article 144 of this Code, with the exception of control over the execution of the order to eliminate the identified violation based on the results of an unscheduled inspection.

15. In case of early elimination of the detected violations specified in the order on elimination of the detected violations, the subject of control and supervision is obliged to provide the control and supervision body that conducted preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the information on the elimination of the detected violations.

The subject of control and supervision shall attach (if necessary) materials proving the fact of elimination of the violation to the information provided on the elimination of the detected violations.

In this case, an unscheduled inspection in accordance with subparagraphs 1) and 2) of paragraph 5 of Article 144 of this Code is not required.

Footnote. Article 152 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 152-1. The procedure of registration of the results of preventive control and supervision with a visit to the performer (target) of control and supervision

Footnote. Chapter 13 is supplemented by the article 152-1 in accordance with the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after its official publication); excluded by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 153. Measures taken by officials of control and supervision bodies on the facts of violations detected during the exercise of control

Footnote. The title of Article 153 as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

If, as a result of control and supervision, the fact of violations by the subject (object) of control and supervision of the requirements established by the legislation of the Republic of Kazakhstan in accordance with paragraph 2 of Article 132 and paragraph 3 of Article 143 of this Code is revealed, the official (person) of the control and supervision body within the powers provided for by the legislation of the Republic of Kazakhstan is obliged to take measures provided by the laws of the Republic of Kazakhstan to eliminate the detected violations, prevent them, prevent possible harm to life, human health and the environment, legitimate interests of individuals and legal entities, as well as measures to bring persons who have committed violations to responsibility established by the laws of the Republic of Kazakhstan.

When taking measures of a prohibitive and restrictive nature with respect to the subject (object) of control and supervision, the control and supervision body, in cases and in the manner determined by the laws of the Republic of Kazakhstan, notifies the prosecutor.

Footnote. Article 153 as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 154. Rights and obligations of officials of state bodies in the exercise of control

1. Officials of state bodies when conducting control over subjects (objects) of control and supervision have the right:

1) for unhindered access to the territory and premises of the object of control and supervision upon presentation of the documents specified in paragraph 1 of Article 147 of this Code;

2) to receive copies of documents (information) on paper and electronic media to attach to the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection or to the order on the elimination of violations identified following the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, as well as access to automated databases (information systems) in accordance with the subject of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

3) to carry out audio, photo and video shooting;

4) to use records of technical means of control, monitoring and recording devices, photo and video equipment related to the subject of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

5) to involve specialists, consultants and experts of state bodies and subordinate organizations.

2. Officials of control and supervision bodies carrying out preventive control with a visit to the subject (object) of control and supervision and (or) inspection are prohibited from making demands and making requests that are not related to the subject of preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

3. Officials of control and supervision bodies, when conducting preventive control with a visit to the subject (object) of control and supervision and (or) inspection, are obliged to:

1) comply with the legislation of the Republic of Kazakhstan, the rights and legitimate interests of subjects of control and supervision;

2) carry out preventive control with a visit to the subject (object) of control and supervision and (or) inspection on the basis and in strict accordance with the procedure established by this Code and (or) other laws of the Republic of Kazakhstan;

3) not to interfere with the established mode of operation of subjects (objects) of control and supervision during the period of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

4) timely and fully execute the powers granted in accordance with the laws of the Republic of Kazakhstan to prevent, detect and suppress violations of the requirements established by the legislation of the Republic of Kazakhstan in accordance with paragraph 2 of Article 132 and paragraph 3 of Article 143 of this Code;

5) not to prevent the subject of control and supervision or its authorized representative from being present during the preventive control with a visit to the subject (object) of control and supervision and (or) inspection, to give explanations on issues related to the subject of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

6) provide the subject of control and supervision with the necessary information related to the subject of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

7) hand over to the subject of control and supervision an act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, in cases of violations – an order to eliminate the identified violations based on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection on the day of their completion or in accordance with the procedure and terms established by the Law of the Republic of Kazakhstan "On state regulation, control and supervision of the financial market and financial organizations";

8) ensure the safety of documents and information obtained as a result of preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

Footnote. Article 154 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 155. Rights and obligations of the subject of control and supervision or its authorized representative in the implementation of preventive control with a visit to the subject (object) of control and supervision and (or) inspection

1. The subjects of control and supervision or their authorized representatives, when carrying out preventive control with a visit to the subject (object) of control and supervision and (or) inspection, have the right:

1) to prevent preventive control with a visit to the subject (object) of control and supervision and (or) inspection of officials of control and supervision bodies who arrived to conduct preventive control with a visit to the subject (object) of control and supervision and (or) inspection of the object, in the following cases:

non-compliance of the frequency of preventive control with a visit to the subject (object) of control and supervision and (or) inspection with the requirements specified in the regulatory legal acts of the Republic of Kazakhstan approved in accordance with Article 141 of this Code;

exceeding or expiration of the terms specified in the act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection (additional act on the extension of the term, if any), which do not correspond to the terms established by this Code;

appointment by the control and supervision body of preventive control with a visit to the subject (object) of control and supervision and (or) inspection of the subject (object) of control and supervision, in respect of which preventive control was previously carried out with a visit to the subject (object) of control and supervision and (or) inspection on the same issue for the same period, except for the cases provided for in the sub-paragraphs 3), 4), 5), 6), 7) and 8) of paragraph 5 of Article 144 of this Code;

appointment of an unscheduled inspection in accordance with subparagraph 1) of paragraph 5 of Article 144 of this Code, if gross violations were not detected by the previous preventive control with a visit to the subject (object) of control and supervision;

absence of information and documents provided for in Articles 141, 143 and paragraph 1 of Article 146 of this Code;

appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection for a period beyond the time period specified in the application or report on committed or pending criminal offenses, in other appeals about violations of the rights and legitimate interests of individuals, legal entities and the state;

instructions for carrying out preventive control with a visit to the subject (object) of control and supervision and (or) inspection to persons who do not have the appropriate authority to do so;

instructions in one act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection of several subjects of control and supervision subject to preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

extension of the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection beyond the period established by this Code;

gross violations of the requirements of this Code in accordance with paragraph 2 of Article 156 of this Code;

2) not to submit documents and information if they do not relate to the subject of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, as well as to the period specified in the act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

3) to appeal the act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the order on the elimination of violations identified following the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, as well as actions (inaction) of officials of control and supervision bodies in accordance with the procedure established by this Code and the legislation of the Republic of Kazakhstan;

4) not to comply with prohibitions of control and supervision bodies or officials not based on the law that restrict the activities of subjects (objects) of control and supervision;

5) to record the process of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, as well as individual actions of an official carried out by him within the framework of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, using audio and video equipment, without creating obstacles to the activity of an official;

6) to involve third parties to participate in preventive control with a visit to the subject (object) of control and supervision and (or) inspection in order to represent their interests and rights, as well as the implementation by third parties of the actions provided for in subparagraph 5) of this paragraph.

2. Subjects of control and supervision or their authorized representatives, when conducting preventive control by control and supervision bodies with a visit to the subject (object) of control and supervision and (or) inspection, are obliged to:

1) ensure unhindered access of officials of control and supervision bodies to the territory and premises of the subject (object) of control and supervision in compliance with the requirements of paragraph 1 of Article 146 of this Code;

2) in compliance with the requirements for the protection of commercial, tax or other secrets protected by law, provide officials of control and supervision bodies with copies of documents (information) on paper and electronic media to attach to the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection and the order to eliminate the identified violations, and also provide access to automated databases (information systems) in accordance with the subject of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

3) to make a note of receipt on the second copy of the act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

4) to make a note of receipt on the second copy of the act on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection on the day of the end of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

5) to make a note of receipt on the second copy of the order on the elimination of the identified violations based on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

6) to prevent amendments and additions to the documents being checked during the period of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, unless otherwise provided by this Code or other laws of the Republic of Kazakhstan;

7) to ensure the safety of persons who arrived for preventive control with a visit to the subject (object) of control and supervision and (or) inspection of the object, from harmful and dangerous industrial factors of influence in accordance with the standards established for this object;

8) in case of receiving a notification of the beginning of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, be at the location of the object of control and supervision at the appointed time of preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

Footnote. Article 155 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 156. Invalidity of preventive control with a visit to the subject (object) of control and supervision and (or) inspections conducted in gross violation of the requirements of this Code

1. Preventive control with a visit to the subject (object) of control and supervision and (or) inspections shall be deemed invalid if it is carried out by the control and supervision body with a gross violation of the requirements for the organization and conduct of preventive control with a visit to the subject (object) of control and supervision and (or) inspection established by this Code.

An act of preventive control with a visit to the subject (object) of control and supervision and (or) inspection and an order to eliminate the violations identified following the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, recognized as invalid, cannot be evidence of violation of the requirements made by the subjects of control and supervision established in accordance with paragraph 2 of Article 132 and paragraph 3 of Article 143 of this Code.

The recognition of preventive control with a visit to the subject (object) of control and supervision and (or) inspection as invalid is the basis for the cancellation by a higher state, including collegial body or court of the act of this preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the order to eliminate the identified violations based on the results of preventive control with a visit to the subject (object) of control and supervision and (or) inspection.

Consideration by a higher state body of the application of the subject of control and supervision on the cancellation of the act in connection with the invalidity of preventive control with a visit to the subject (object) of control and supervision and (or) inspection, the cancellation of the order to eliminate the identified violations in connection with the invalidity of preventive control with a visit to the subject (object) of control and supervision and (or) inspection is carried out within ten working days from the date of submission of the application.

Violation of the established deadline for consideration of such an application is decided in favor of the subject of control and supervision.

2. Gross violations of the requirements of this Code include:

1) the absence of grounds for preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

2) the absence of an act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

3) absence of notification, as well as non-compliance with the deadlines for notification of the beginning of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

4) violation of the requirements of Article 151 of this Code;

5) violation of the frequency of preventive control with a visit to the subject (object) of control and supervision and (or) inspection of compliance with the requirements specified in the regulatory legal acts of the Republic of Kazakhstan approved in accordance with Article 141 of this Code;

6) failure to submit to the subject of control and supervision an act on the appointment of preventive control with a visit to the subject (object) of control and supervision and (or) inspection;

7) appointment by the control and supervision bodies of preventive control with a visit to the subject (object) of control and supervision and (or) inspection on issues not within their competence;

8) carrying out preventive control with a visit to the subject (object) of control and supervision and (or) inspection without registration of the act of preventive control with a visit to the subject (object) of control and supervision and (or) inspection in the authorized body in the field of legal statistics and special records, when such registration is mandatory;

9) violation of the terms of preventive control with a visit to the subject (object) of control and supervision and (or) inspection provided for in Article 148 of this Code;

10) carrying out preventive control with a visit to the subject (object) of control and supervision without conducting preliminary preventive control without visiting the subject (object) of control and supervision in accordance with paragraph 5 of Article 131 of this Code.

Footnote. Article 156 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Article 157. Procedure for appealing decisions, actions (inaction) of control and supervision bodies and their officials

1. In case of violation of the rights and legitimate interests of subjects of control and supervision in the exercise of control, the subject of control and supervision has the right to appeal decisions, actions (inaction) of control and supervision bodies and their officials to a higher state body in the manner provided for by Chapter 29 of this Code, or to a court in the manner established by the legislation of the Republic of Kazakhstan.

2. Appeal of decisions, actions (inaction) of control and supervision bodies and their officials related to the investigation of a criminal case shall be carried out by the subject of control and supervision in accordance with the procedure established by the Criminal Procedure Code of the Republic of Kazakhstan.

Footnote. Article 157 - as amended by the Law of the Republic of Kazakhstan dated 30.12.2021 No. 95-VII (shall be enforced from 01.01.2023).

Paragraph 3. Control over compliance with the terms of investment contracts

Footnote. Paragraph 3 is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

SECTION 4. ECONOMIC COMPETITION Chapter 14. COMPETITION

Article 160. Objectives of state regulation of competition

The objectives of state regulation of competition are the protection of competition, the maintenance and creation of favorable conditions for fair competition in the commodity markets of the Republic of Kazakhstan and the effective functioning of commodity markets, ensuring the unity of the economic space, the free movement of goods and the freedom of economic activity in the Republic of Kazakhstan, regulation and restriction of monopolistic activities in accordance with this Code, promoting fair competition and preventing violations of the legislation of the Republic of Kazakhstan in the field of protection of competition, preventing anti-competitive actions of state and local executive bodies, organizations endowed with state functions of regulating the activities of market entities and unfair competition.

Footnote. Article 160 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI (shall be enforced from January 1, 2017).

Article 161. Relations in the field of state regulation of competition

1. This section applies to relationships that influence or shall affect competition in the commodity markets of the Republic of Kazakhstan, in which market entities, consumers, as well as state bodies and local executive bodies participate. In this case, a consumer is an individual or legal entity who purchases goods for their own needs.

2. The provisions of this section also apply to actions performed by a market entity outside the territory of the Republic of Kazakhstan, if one of the following conditions is fulfilled as a result of such actions:

1) the fixed assets and (or) intangible assets or shares (equity interest in authorized capital) of market entities, property or non-property rights in relation to legal entities of the Republic of Kazakhstan are directly or indirectly affected;

2) the competition in the Republic of Kazakhstan is limited.

Article 162. Concept of competition

1. The competition is the competitiveness of market entities, in which their independent actions effectively limit the ability of each of them to unilaterally influence the general conditions of circulation of goods in the relevant commodity market.

2. The competition is based on the principles of competition, honesty, legality, and respect for the rights of consumers, which are applied in the same way, equally and on equal terms to all market entities, regardless of the organizational and legal form and place of registration of such market entities.

Article 163. State competition policy

1. The anti-monopoly body is a state body that exercises leadership in the field of protecting competition and restricting monopolistic activity, controlling and regulating activities related to the state monopoly.

2. The antimonopoly body shall develop proposals for the formation of state policy in the field of protection of competition and restriction of monopolistic activity.

3. The central and local executive bodies shall participate in the implementation of state policy in the field of competition within their competence as defined by this Code and other legislation of the Republic of Kazakhstan.

4. Within their competence, state bodies shall be obliged to take measures to promote competition in the implementation of state policy in relevant sectors of the economy and not to take actions (inaction) that adversely affect competition.

Footnote. Article 163 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016No. 34-VI (shall be enforced from January 1, 2017).

Article 163-1. Compulsory services provided by natural monopoly entities and quasipublic sector

1. In order for safety of production certain types of goods, works, services, the natural monopoly entities and quasipublic sector shall provide compulsory services to individuals and legal entities provided by the legislation of the Republic of Kazakhstan.

2. By compulsory services shall be understood the activities (actions, processes) carried out by natural monopoly entities and (or) quasipublic sector, which shall be mandatory for individuals and legal entities in accordance with the legislation of the Republic of Kazakhstan, and also confirm their right to carry out their activities or actions (operations), and non-receipt of such services shall entail an administrative or civil responsibility.

3. When providing mandatory services to individual and legal entities, subjects of natural monopolies and the quasi-public sector use informatization objects, and also submit data in machine-readable form to the objects of informatization of the "electronic government" in accordance with the Rules for provision of mandatory services by subjects of natural monopolies and the quasi-public sector in the framework of competition protection and restriction of monopolistic activity.

Footnote. Chapter 14 is supplemented by Article 163-1 in accordance with the Law of the Republic of Kazakhstan No. 156-VI dated 24.05.2018 (shall be enforced from 01.01.2019); as amended by the Law of the Republic of Kazakhstan dated 05.04.2023 No. 221-VII (shall be enforced from 01.07.2023).

Article 164. Market entity

The market entities are:

1) an individual engaged in entrepreneurial activities;

2) a legal entity of the Republic of Kazakhstan or its branch, which is an independent taxpayer (with the exception of financial organizations), carrying out entrepreneurial activities;

3) a foreign legal entity (its branch and representative office) engaged in entrepreneurial activities;

4) a non-profit organization carrying out entrepreneurial activities in accordance with its statutory objectives.

Footnote. Article 164 as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 165. Group of persons

1. The group of persons is an aggregate of individuals and (or) legal entities that correspond to one or more of the following characteristics:

1) a market entity and an individual or legal entity, if such an individual or such legal entity has, by virtue of its participation in this market entity or in accordance with the powers received, including on the basis of a written agreement, from other persons, the right to dispose more than fifty percent of the total number of votes attributable to voting shares (equity interest in authorized capital, shares) of this market entity;

2) a market entity and an individual or legal entity, if such an individual or such legal entity performs the functions of the sole executive body of the this market entity;

3) a market entity and an individual or legal entity, if such an individual or such legal entity, on the basis of the constituent documents of this market entity or the contract concluded with this market entity, has the right to give instructions to this market entity;

4) legal entities in which more than fifty percent of the quantitative composition of the collegial executive body and (or) the board of directors (supervisory board, board of the fund) are the same individuals;

5) a market entity and an individual or legal entity, if upon the proposal of such an individual or such legal entity a sole executive body of the this market entity is appointed or elected;

6) a market entity and an individual or legal entity, if, at the proposal of such an individual or such legal entity, more than fifty percent of the number of members of the collegial executive body or the board of directors (supervisory board) of this market entity is elected;

7) an individual, his/her spouse, parents (including adoptive parents), children (including adopted children), full- and half-blood siblings;

8) persons, each of which, for any of the sub-paragraphs 1), 2), 3), 4), 5), 6) and 7) of this paragraph, belongs to a group with the same person, as well as other persons entering with any of such persons in the group on any of the grounds indicated in sub-paragraphs 1), 2), 3), 4), 5), 6) and 7) of this paragraph;

9) a market entity, individuals and (or) legal entities that, for any of the items indicated in sub-paragraphs 1), 2), 3), 4), 5), 6), 7) and 8) of this paragraph, include to a group of persons, if such persons, by virtue of their joint participation in this market entity or in accordance with powers received from other persons, have the right to control more than fifty percent of voting shares (stakes in the authorized capital, units) of this market entity.

2. The group of persons is considered as a unified market entity. The provisions of this section relating to market entities apply to a group of persons.

Article 166. Affiliates of legal entities

1. For the purposes of this section, under affiliates of legal entities, more than fifty percent of whose shares (equity interest in authorized capital) owned by the state are understood to be legal entities in which more than fifty percent of shares (stakes in the authorized capital)directly or indirectly belong to legal entities, more than fifty percent of whose shares (stakes in the authorized capital) belong to the state.

2. The indirect affiliation means the ownership by each subsequent affiliated person of more than fifty percent of the shares (stakes in the authorized capital) of another legal entity.

Chapter 15. MONOPOLISTIC ACTIVITY

Article 167. Concept and kinds of monopolistic activity

1. The monopolistic activity is the activity of market entities, whose position makes it possible to control the relevant commodity market, including making it possible to have a significant impact on the general conditions of circulation of goods in the relevant commodity market.

2. The monopolistic activities limited by this Code include:

1) anti-competitive agreements of market entities;

2) anti-competitive concerted actions of market entities;

3) abuse of dominant or monopolistic position.

Article 168. Types of anti-competitive agreements and concerted practices

1. Anti-competitive agreements or concerted actions between market players that are competitors (market players selling or buying goods in the same product market) or potential competitors shall be horizontal.

The competitor is the market entity who is in a state of competition with other entities of the relevant market due to the fact that it produces and (or) sells the goods in the relevant commodity market that is similar or interchangeable with the goods of market entities.

The potential competitor is recognized as a market entity that has the ability (owns equipment, technology) to produce and (or) sell the goods that is similar or interchangeable with a competitor's goods, but does not produce and does not sell it in the relevant commodity market.

2. The anti-competitive agreements between non-competing market entities, one of which purchases thr goods and the other provides the goods or is its potential seller (supplier), are vertical.

Footnote. Article 168 as amended by Law of the RK No. 101-VII of 03.01.2022 (shall take effect upon expiry of sixty calendar days after its first official publication).

Article 169. Anti-competitive agreements

1. It is recognized as a cartel and horizontal agreements between market entities are prohibited if such agreements result or may lead to:

1) the establishment or maintenance of prices (tariffs), discounts, extra charges (extra payments) and (or) markups;

2) increase, decrease or maintain prices at the auctions, distort the results of trades, auctions and contests, including by dividing by lots;

3) the division of the commodity market on a territorial basis, the volume of sale or purchase of goods, the range of goods sold or the composition of sellers or customers (clients);

4) the reduction or termination of the goods production;

5) the refusal to conclude contracts with certain sellers or customers (clients).

The provisions of sub-paragraph 2) of the first part of this paragraph apply, including, but not limited to agreements between market entities belonging to the same group of persons.

2. The vertical agreements between market entities shall be prohibited if:

1) such agreements result or may lead to the establishment of the resale price of the goods, unless the seller establishes for the customer (client) the maximum resale price of the goods;

2) such an agreement provides for the obligation of the customer (client) not to sell the goods of a market entity that is a competitor of the seller. This prohibition does not apply to agreements on the organization by the customer of the sale of goods under a trademark or other means of individualization of the customer or producer;

3) such an agreement provides for the seller’s obligation not to sell goods to a market entity that is a competitor of the customer (client).

3. It is prohibited and recognized as invalid in full or in part in the manner prescribed by the legislation of the Republic of Kazakhstan, agreements reached in any form between market entities that lead or may lead to restriction of competition, including concerning:

1) the establishment or maintenance of discriminatory conditions to equivalent contracts with other market entities, including the establishment of agreed terms for the purchase and (or) sale of goods;

2) economically, technologically and otherwise unreasonable establishment by market entities of different prices (tariffs) for the same product;

3) unreasonable restriction or termination of the sale of goods;

4) the conclusion of contracts subject to the acceptance by counterparties of additional obligations which, by their content or according to traditional business practice, do not concern the subject of these contracts (unreasonable requirements for the transfer of funds and other property, property or non-property rights);

5) the restrictions on access to the commodity market or elimination from it of other market entities as sellers (suppliers) of certain goods or their customers.

The prohibitions established by the first part of this paragraph do not apply to vertical agreements if the share of the market entity (s) in one of the considered commodity markets does not exceed twenty percent, with the exception of vertical agreements when organizing and conducting procurement of goods and trades or -public-private partnership agreement, including concession agreements, integrated entrepreneurial license (franchise).

4. The anti-competitive agreements shall be concluded (achieved) in written and (or) oral form.

5. The coordination of actions of market entities by a third party who is not in the same group of persons with one of these market entities and who does not operate in the commodity market (s) in which the actions of market entities are coordinated, is recognized as coordination of economic activity. The coordination of economic activities of market entities that may lead, resulting in or leading to the consequences listed in paragraphs 1-3 of this Article, is prohibited.

6. The prohibitions on anticompetitive agreements do not apply to agreements between market entities that belong to one group of persons, if one of these market entities has control over another market entity, as well as if such market entities are under the control of one person.

The control is the ability of an individual or legal entity, directly or indirectly (through a legal entity or through several legal entities) to determine decisions made by another legal entity, through one or several of the following actions:

1) the disposal of more than fifty percent of voting shares (stakes in the authorized capital, units) of the legal entity;

2) the exercise of the functions of the executive body of the legal entity;

3) obtaining the right to determine the conditions for conducting entrepreneurial activities of market entities or to give these market entities mandatory instructions in accordance with a public-private partnership agreement, a comprehensive business license (franchising), a license agreement or other agreement between the copyright holder (a person authorized by the copyright holder) and market participants on the organization of the sale of goods under a trademark or other means of individualization of the copyright holder.

7. The requirements of this Article do not apply to agreements on the exercise of exclusive rights to the results of intellectual activity and equated to them means of individualization of the legal entity, means of individualization of goods, provided that such agreements have not led or cannot lead to restriction or elimination of competition.

8. The agreements provided for by this Article, with the exception of those specified in paragraph 1 of this Article, shall be deemed admissible if they do not impose restrictions on the market entities that are not necessary to achieve the objectives of these agreements and do not create the opportunity to eliminate competition in the relevant commodity market, and if market entities prove that such agreements have or may result in:

1) the assistance in improving the production (sale) of goods or stimulating technical (economic) progress or increasing the competitiveness of goods produced by the parties in the world commodity market;

2) consumers receiving a proportionate part of the benefits (profits) that are acquired by the relevant persons from commitment of such actions.

Footnote. Article 169 as amended by the Laws of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI(shall be enforced from January 1, 2017); dated May 24, 2018 No. 156-VI(shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 268-VI dated October 28, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication).

Article 169-1. The requirements for the protection of competition in the organization and conduct of procurement of goods and trades

1. The organizers of the procurement of goods, procurement operators and trade operators are prohibited from coordinating the activities of procurement suppliers and participants in trades, if this action leads or may lead to the prevention, restriction or elimination of competition.

2. The organizers of the procurement of goods shall be understood as:

1) government bodies, government agencies, with the exception of the National Bank of the Republic of Kazakhstan and its departments;

2) state-owned enterprises, legal entities, fifty and more percent of voting shares (stakes in the authorized capital) owned by the state, and legal entities affiliated with them, national managing holdings, national holdings, national companies and organizations, fifty or more percent of shares (stakes in the authorized capital) which are directly or indirectly owned by the national managing holding, national holding, national company, with the exception of organizations owned by the National Bank of the Republic of Kazakhstan, and legal entities, fifty or more percent of voting shares (stakes in the authorized capital) owned by the National Bank of the Republic of Kazakhstan or are in his confidential management;

3) subsoil users, mining at large mineral deposits and purchasing goods in the manner established by the legislation of the Republic of Kazakhstan on Subsoil and Subsoil Use;

4) subjects of natural monopolies to whom the tariff has been approved using the cost method of tariff regulation and who purchase goods in accordance with the procedure established by the legislation of the Republic of Kazakhstan on natural monopolies, with the exception of subjects of low-capacity natural monopolies.

3. The procurement and trade operators shall be understood as persons who carry out organizational and technical support for purchases and trades by directly conducting them using trade or information systems, commodity exchanges and other trading platforms, with the exception of individuals who carry out organizational and technical support for purchases and tenders using trade or information systems, commodity exchanges and other trading platforms for the implementation of own property and (or) the acquisition of goods (works, services) for own needs and (or) the needs of market entities, entering with them in the same group.

The procurement and trade operators specified in the first part of this paragraph include:

1) the state bodies, state institutions, state enterprises, legal entities, fifty and more percent of voting shares (stakes in the authorized capital) owned by the state, and legal entities affiliated with them, national managing holdings, national holdings, national companies and organizations, fifty and more percent of shares (stakes in the authorized capital) of which are directly or indirectly owned by the national managing holding, national holding, national company;

2) the commodity exchanges and other trading platforms and systems where contracts for the sale of goods between market entities, between state bodies or public institutions and market entities are concluded.

4. The organizers of the procurement of goods, with the exception of procurement conducted in electronic form, and the subsoil users indicated in sub-paragraph 3) of paragraph 2 of this Article, who provide information on the procurement to the authorized state bodies and (or) authorized organizations in accordance with the legislation of the Republic of Kazakhstan shall provide to the anti-monopoly body:

1) the annual procurement plan not later than one month from the date of its approval, except for the case of posting it on the corresponding Internet resource;

2) the information on purchases made in the form approved by the anti-monopoly body, quarterly no later than the tenth day of the month following the reporting quarter.

5. The authorized state bodies and (or) authorized organizations that receive procurement information from subsoil users indicated in sub-paragraph 3) of paragraph 2 of this Article are required to provide permanent access to the information system of electronic procurement of goods or, in its absence, upon request of the anti-monopoly body on purchases made in accordance with the form approved by the anti-monopoly body, quarterly no later than the tenth day of the month following the reporting quarter.

6. The operators of procurement and trades, with the exception of purchases and tenders held in electronic form, provide the anti-monopoly body with information on the trades held quarterly no later than the tenth day of the month following the reporting quarter.

7. The operators of procurement and trades conducted in electronic form, at the request of the anti-monopoly body, shall provide constant access to:

1) to trade or information systems, commodity exchanges and other trading platforms for electronic procurement of goods or trades, allowing real-time monitoring of the procurement of goods and trades;

2) to documentation and other information relating to the procurement and trades process.

Footnote. Chapter 15 is supplemented by the article 169-1 in accordance with the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon the expiry of ten calendar days after its official publication); as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon epiry of ten calendar days after the date of its first official publication).

Article 170. Anti-competitive concerted actions of market entities

1. The concerted actions of market entities engaged in the production, sale of goods aimed at restricting competition, shall be prohibited including those concerning:

1) the establishment and (or) maintenance of prices or other conditions for the purchase or sale of good;

2) the unreasonable restrictions on the production or sale of goods;

3) the unreasonable refusal to conclude contracts with certain sellers (suppliers) or customers;

4) the application of discriminatory conditions to equivalent contracts with other entities.

2. The actions of market entities indicated in paragraph 1 of this Article may be deemed to be agreed if they satisfy in aggregate the following conditions:

1) these actions limit competition;

2) the result of such actions corresponds to the interests of each of the market entities;

3) the actions of market entities shall be known in advance to each of them in connection with the public announcement of one of them or the public publication of information by one of them about the commission of such actions;

4) the actions of each of the specified market entities are caused by the actions of other market entities participating in concerted actions;

5) the actions of market entities shall not be the result of circumstances that equally affect these market entities (amendments in tax and other legislation of the Republic of Kazakhstan, the dynamics of consumption, tariffs for services of natural monopolies entities, prices for raw materials and goods used in the production and sale of goods);

6) the total share of market entities in the relevant commodity market is thirty-five or more percent. In this case, the minimum value of the share of one market entity in the relevant commodity market should be five or more percent.

3. The actions of the market entities indicated in paragraph 1 of this Article shall be recognized as agreed regardless of the existence of a written agreement.

4. The concerted actions are allowed if they are committed by market entities that belong to the same group of persons and are aimed at:

1) improving the production (sale) of goods by introducing advanced technologies, standardization, quality control systems, environmental protection, providing consumers with a proportionate part of the benefits;

2) the development of small and medium enterprises;

3) development and application of standardization documents.

Footnote. Article 170 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI(shall be enforced from January 1, 2017); No. 184-VI dated 05.10.2018 (shall be enforced upon expiry of six months after its first official publication); No. 268-VI dated October 28, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication).

Article 171. Preliminary consideration of the draft of an agreement of market entities

1. The market entities with an intention to reach an agreement that shall be deemed admissible in accordance with Article 169 of this Code are entitled to apply to the anti-monopoly body with a statement to verify that the draft of the agreement complies with the requirements of Article 169 of this Code with the necessary documents attached in electronic form.

2. The anti-monopoly body shall decide on the compliance or non-compliance of the draft of the agreement of market entities with the requirements of Article 169 of this Code within thirty calendar days from the date of receipt of the application indicated in paragraph 1 of this Article.

Footnote. Article 171 as amended by the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 172. Dominant or monopolistic position

1. The dominant or monopolistic position is the position of a market entity or several market entities in the relevant commodity market, giving the market entity or several market entities the ability to control the relevant commodity market, including having a significant impact on the general conditions of goods circulation.

2. The dominant position of a market participant shall be determined pursuant to the Methodology for Analysis of Competition in a Commodity Market, approved by the anti-monopoly authority.

3. The position of a market entity whose share in the relevant commodity market is thirty-five percent or more is recognized as dominant if the following circumstances are established in relation to such market entity:

1) the ability of a market entity to unilaterally determine the level of the price of goods and have a decisive influence on the general conditions for the sale of goods on the commodity market;

2) the presence of economic, technological, administrative or other restrictions on access to the commodity market;

3) the duration of the existence of the possibility of a market entity to have a decisive influence on the general conditions of goods circulation in the commodity market.

In the event that a market entity holds a share of fifty percent or more, the position of the market entity is recognized as dominant without taking into account the circumstances listed in sub-paragraphs 1), 2) and 3) of the first part of this paragraph.

4. The position of each of several market entities is recognized as dominant if the total share of no more than three market entities that own the largest shares in the relevant commodity market is fifty or more percent or the total share of no more than four market entities that own the largest shares in the relevant commodity market is seventy or more percent if the following circumstances are established in relation to such market entity:

1) for a long period (for at least one year or, if such a period is less than one year, during the life of the relevant commodity market), the relative sizes of the shares of market entities are unchanged or subject to minor changes;

2) the goods sold or acquired by market entities shall not be replaced by another goods for consumption (including consumption for production purposes);

3) information on the price and (or) on the conditions for the sale of this goods in the relevant commodity market is available to an indefinite circle of persons.

5. The dominant position of financial organizations shall be recognized if:

1) the cumulative share of no more than two financial organizations that own the largest shares in the relevant financial services market is fifty percent or more;

2) the aggregate share of no more than three financial organizations that own the largest shares in the relevant financial services market is seventy or more percent.

6. The dominant in accordance with paragraphs 4 and 5 of this Article shall not be recognized as the position of the market entity, whose share in the relevant commodity market, including the financial services market, does not exceed fifteen percent.

7. The position of natural monopoly entities, state monopoly entities, special right entities, as well as market entities with one hundred percent dominance on the relevant product market (entities with a monopoly position).

8. The market entity shall be entitled to submit to the anti-monopoly body evidence that the position of this market entity in the commodity market shall not be recognized as dominant.

The anti-monopoly body within fifteen working days from the date of receipt reviews the evidence submitted and makes the appropriate decision, which is sent to the market entity.

Footnote. Article 172 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016No. 34-VI (shall be enforced from January 1, 2017); No. 101-VII of 03.01.2022 (see Article 2 for the enactment procedure).

Article 173. Formation and maintenance of the state register of market entities holding a dominant or monopolistic position in regulated markets

Footnote. Article 173 was valid until 01.01.2017 in accordance with the Code of the Republic of Kazakhstan dated 29.10.2015 No. 375-V.

Article 174. Abuse of dominant or monopolistic position

It is prohibited to act (inact) to market entities that occupy a dominant or monopolistic position, which led or lead to restriction of access to the relevant commodity market, prevent, restrict and eliminate competition and (or) impair the legal rights of a market entity or an indefinite number of consumers, including:

1) the establishment, maintenance of monopoly high (low) or monopsony low prices;

2) the application of different prices or different conditions to equivalent agreements with market entities or consumers without objectively justified reasons, except for cases when the use of different prices is due to different costs of production, sale and delivery of goods, non-discriminatory use of a discount system that takes into account sales volumes, terms of payment, terms of the contract;

3) the establishment of restrictions on the resale of goods purchased from him on a territorial basis, a circle of customers, conditions of purchase, as well as quantity, price;

4) condition or impose the conclusion of an agreement by the market entity or the consumer of additional obligations that, by their content or according to traditional business practice, do not relate to the subject of these agreements;

5) unreasonable refusal to conclude a contract or to sell goods with individual customers if at the time of the appeal the possibility of production or sale of the relevant goods or evasion, expressed in failure to respond to the proposal to conclude such a contract in a period exceeding thirty calendar days.

In this case, a refusal or evasion is considered justified if at the time of the consumer's request there is no required volume of goods produced or sold, including in connection with the conclusion of contracts for the sale of the relevant goods;

6) the conditionality of the supply of goods by the acceptance of restrictions on the purchase of goods produced or sold by competitors;

7) unreasonable reduction in production and (or) supply or termination of production and (or) supply of goods for which there is a demand or orders from consumers, market entities in the presence of the possibility of production or supply;

8) withdrawal of goods from circulation, if the result of such withdrawal was an increase in the price of the goods;

9) the imposition of a counterparty economically or technologically unreasonable terms of the contract, not related to the subject of the contract;

10) the creation of barriers to access to the commodity market or exit from the commodity market to other market entities;

11) economically, technologically or otherwise unreasonable establishment of different prices (tariffs) for the same product, the creation of discriminatory conditions;

12) failure to provide equal access to key capacity.

Footnote. Article 174 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI(shall be enforced from January 1, 2017); dated May 24, 2018No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 101-VII of 03.01.2022 (shall come into force sixty calendar days after the date of its first official publication).

Article 175. Monopoly high and monopoly low price of goods

1. A monopolistically high price is a price set by a market entity holding a dominant or monopolistic position, if this price exceeds the sum of the costs and profits necessary to produce and sell such goods and the price that was formed under competitive conditions in the relevant or comparable product market, including the price set by:

1) by increasing the previously set of goods, if the following conditions are met in aggregate:

the costs necessary for the production and sale of goods have remained unchanged or their change is disproportionate to the change in the price of the goods;

the membership of sellers or buyers of goods has remained unchanged or the change in the membership of sellers or buyers of goods is insignificant;

the conditions for the circulation of goods on the commodity market, including those due to state regulation measures, including taxation, customs and tariff, tariff and non-tariff regulation, remained unchanged or their change is disproportionate to the change in the price of the goods;

2) by not reducing the previously set price of goods, if the following conditions are met in aggregate:

the costs necessary for the production and sale of goods have decreased significantly;

the membership of sellers or buyers of goods determines the possibility of changing the price of the goods in the direction of decrease;

the conditions for the circulation of goods on the commodity market, including those due to state regulation measures of, including taxation, customs and tariff, tariff and non-tariff regulation, provide the possibility of changing the price of goods in the direction of decrease.

2. The commodity market shall be the sphere of circulation of goods (including foreign-made goods) that cannot be replaced by other goods, or interchangeable goods, within the boundaries of which (including geographical), based on economic, technical or other possibilities or expediency, the acquirer can purchase goods and outside of which there is no such possibility or expediency.

3. The comparable commodity market means another commodity market comparable in terms of the volume of goods sold, the composition of customers or sellers (suppliers) of goods, determined based on the purposes of purchasing or selling goods, and the conditions for access to the commodity market.

If it is impossible to compare the price in the same commodity market, the comparison is made with the price of the commodity in the comparable commodity market, including outside the Republic of Kazakhstan.

If it is impossible to determine the price prevailing in a competitive situation on a comparable commodity market, or a comparable commodity market, including outside the Republic of Kazakhstan, an analysis of costs and profits of the market entity shall be carried out and the reasonable price of the goods shall be determined.

4. The price of goods established by the market entity in accordance with the laws of the Republic of Kazakhstan shall not be recognized as monopoly high.

4-1. The price of exchange goods formed during duly conducted trading on commodity exchanges and electronic trading platforms shall not be recognized as monopoly high (low) in the manner determined by competition authority, if such a price shall not be established by the result of monopolistic activities limited by this Code.

The price of exchange goods shall not be recognized as monopoly high in the manner determined by the competition authority, if it shall not exceed the price prevailing during the period under review during the duly conducted trading on commodity exchanges and electronic trading platforms.

The fact of establishing the monopoly high (low) price shall be revealed by investigating violations of the legislation of the Republic of Kazakhstan for protection of competition.

5. The monopoly low price of the goods is the price established by the market entity that occupies a dominant or monopolistic position if:

1) this price is lower than the price that on the same commodity market is established by a market entity that is not in the same group of persons with a dominant market entity;

2) this price is lower than the sum of actual costs for the production and sale of such goods.

6. The price of goods shall not be recognized as a monopoly low if it does not meet at least one of the criteria specified in paragraph 5 of this Article. The price of goods established by the market entity in accordance with the laws of the Republic of Kazakhstan shall not be recognized as monopoly low.

7. In determining the monopoly high price of the goods in accordance with Paragraph 1 of this Article, exchange and over-the-counter price indicators established in the world and Kazakhstan markets of similar goods shall be taken into account.

Footnote. Article 175 as amended by the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 241-VI dated 02.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); No. 268-VI dated October 28, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 101-VII of 03.01.2022 (shall be enforced sixty calendar days after the date of its first official publication).

Article 176. Monopsony position and monopsony low price

1. The monopsony position is the position of a market entity that occupies a dominant or monopoly position as a customer, whose share in the relevant commodity market is seventy or more percent.

2. The monopsony low price is the price of goods at which the goods are acquired by a market entity which has a monopsony position if:

1) this price allows the market entity, which has a monopsony position, to receive additional income by reducing the costs of production and (or) sales at the expense of market entities that sell goods to it;

2) this price is lower than the amount required for the market entity that sells the goods, the costs of production and selling such goods and profits.

3. The price of goods shall not be recognized as a monopsony low if it does not meet at least one of the criteria specified in paragraph 5 of this Article.

Article 176-1. Ensuring equal access to key capacity

1. Key capacity is a commodity, infrastructure facility of a market entity holding a dominant or monopolistic position (hereinafter, the holder of key capacity), without access thereto other market entities cannot produce and (or) sell the commodity in the relevant or adjacent commodity market.

2. A product, infrastructure facility of a market participant shall be recognised as key capacity when the following conditions are met:

1) duplication of commodities, infrastructure facility is not possible or not economically feasible due to technological features;

2) the holder of the key capacity has the right to own, use and dispose of the relevant commodity, infrastructure facility

3) the ability of the key capacity holder to provide access to the relevant commodity, infrastructure facility;

4) an unjustified denial of access to the relevant commodity or infrastructure facility by a key capacity holder will have a negative impact on competition;

5) access to the relevant volume of goods, the infrastructure facility of the holder of the key capacity is not provided by means of exchange trading.

3. Holders of key capacity must provide equal access to key capacity to other market participants in a manner consistent with the rules for equal access to key capacity approved by the anti-monopoly authority, except in cases where a different procedure for access to relevant key capacity is regulated by the legislation of the Republic of Kazakhstan.

If the key capacity is raw material, the holders of the relevant key capacity must grant equal access thereto only to producers of commodities that use the said raw material.

Where the key capacity is a software product, access to it shall be provided in the manner prescribed by the laws of the Republic of Kazakhstan in the field of intellectual property.

4. Equal access to key capacity shall be granted under market conditions.

5. The requirements referred to in paragraph 3 hereof shall not apply to holders of key capacity in the amount used for their own needs and (or) by consumers belonging to the same group of persons without the purpose of further resale.

The first part of this paragraph shall not apply to quasi-public sector entities.

Footnote. Chapter 15 as supplemented by Article 176-1 in pursuance of Law of the RK No. 101-VII of 03.01.2022 (shall enter into force sixty calendar days after the date of its first official publication).

Chapter 16. UNFAIR COMPETITION

Article 177. Concept of unfair competition

1. Unfair competition shall mean any actions of a market entity (group of persons) or several market entities (group of persons) aimed at obtaining advantages in business activities, that contradict the legislation of the Republic of Kazakhstan, customs of business turnover, requirements of good faith, reasonableness and fairness and have caused or may cause damage to other market entities - competitors or have caused or may cause damage to their business reputation.

2. Unfair competition shall include, but not be limited to, the following acts:

1) undue use of means of individualization of goods, works, services, as well as objects of copyright;

2) undue use of goods from another producer;

3) copying of the product appearance;

4) discreditation of the market entity;

5) deliberately false, unfair and inaccurate advertising;

6) sale (purchase) of goods with a compulsory assortment;

7) call for a boycott of a seller (supplier) of competitor;

8) call for a discrimination of the customer (supplier);

9) call of the market entity to break the contract with a competitor;

10) bribing an employee of the seller (supplier);

11) bribing an employee of the customer;

12) undue use of information constituting a commercial secret;

13) the sale of goods with the provision of unreliable information to the consumer regarding the nature, method and place of production, consumer properties, quality and quantity of the goods and (or) its producers;

14) incorrect comparison by the market entity of goods produced and (or) sold by them with goods produced and (or) sold by other market entities;

15) creating barriers to changing the vendor (supplier) of goods.

Footnote. Article 177 as amended by Law of the RK No. 101-VII of 03.01.2022 (shall become effective upon expiration of sixty calendar days after its first official publication).

Article 178. Undue use of means of individualization of goods, works, services, as well as objects of copyright

The undue use of means of individualization of goods, works, services, as well as objects of copyright is the undue use of another's trademark, service mark, company name, name of origin or similar designations for similar goods or use without the permission of the copyright holder or authorized person names of literary, artistic works, periodicals, or using them on packaging in a form which may mislead the consumer in relation to the nature, method and place of production, consumer properties, quality and quantity of the goods or in relation to its producers.

Footnote. Article 178 as amended by the Law of the Republic of Kazakhstan dated June 20, 2018 No. 161-VI(shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 179. Undue use of goods from another producer

The undue use of goods of another producer is the introduction into economic circulation under its own designation of goods of another producer by changing or removing the producer's designations without the permission of the copyright holder or an authorized person.

Article 180. Copying of the product appearance

1. The copying of the product appearance is the reproduction of the product appearance of another market entity and its introduction into economic circulation, which may mislead the consumer in relation to the producer of the goods.

2. It is not undue to copy the product appearance or its parts, if such copying is solely due to their functional use.

Article 181. Discreditation of the market entity

The discreditation of a market entity is the dissemination in any form of deliberately false, inaccurate information related to the market entity activities.

Article 182. Deliberately false, unfair and inaccurate advertising

The features of unfair, inaccurate and deliberately false advertising shall be established in accordance with the laws of the Republic of Kazakhstan.

Article 183. Sale (purchase) of goods with a compulsory assortment

The sale (purchase) of the goods with a compulsory assortment is any actions of the seller (supplier) or customer to establish additional requirements or conditions for the sale (purchase) of the goods that undermine the rights of the seller (supplier), consumer and who, according to their content or traditional business practices, do not relate to the subject of the transaction.

Article 184. Call for a boycott of a seller (supplier) of competitor;

The call for a boycott of the seller (supplier) of the competitor or his goods is organized by a competitor directly or through an intermediary aimed at refusing customers to establish contractual relations with the seller (supplier) of a competitor or purchasing his goods.

Article 185. Call for a discrimination of the customer (supplier)

The call for discrimination of the customer (supplier) is the actions of the competitor of the customer (supplier) directly or through an intermediary, aimed at forcing the supplier (customer) to refuse to conclude a contract or apply discriminatory conditions to other customers(suppliers) under equivalent contracts.

Article 186. Call for termination of the contract with a competitor

The call to terminate the contract with a competitor is the actions of a market entity aimed at non-fulfillment or improper fulfillment of contractual obligations of another market entity - a party to the contract with a competitor, by providing or offering directly or through an intermediary material remuneration, other advantages or unreasonable resistance to the market entity in its implementation of its activities.

Article 187. Bribing an employee seller (supplier)

The bribing an employee of a seller (supplier) is provision of the customer’s competitor, directly or through an intermediary, with property or non-property benefits for improper performance or non-performance by employee of the seller (supplier), which results or may result in getting by the customer’s competitor of certain advantages over the customer and (or) losses of the customer.

Article 188. Bribing an employee of the customer

The bribing an employee of the customer is providing the seller’s (supplier) competitor, directly or through an intermediary, with property or non-property benefits for improper performance or non-performance by employee of the customer, which results or may result in getting by the seller’s competitor of certain advantages over the seller (supplier) and (or) the seller (supplier) losses.

Article 189. Undue use of information constituting a commercial secret

The undue use of information constituting a trade secret is the use of information constituting a trade secret in accordance with the legislation of the Republic of Kazakhstan without permission of the copyright holder.

Article 190. Sale of goods with the provision of unreliable information to the consumer regarding the nature, method and place of production, consumer properties, quality and quantity of the goods and (or) its producers

The sale of goods with the provision of inaccurate information is the provision to the consumer in any form of inaccurate information regarding the nature, method and place of production, consumer properties, quality and quantity of goods and (or) its producers.

Article 191. Inappropriate comparison by the market entity of goods produced and (or) sold by them with goods produced and (or) sold by other market entities

The inappropriate comparison by the market entity of the goods produced and (or) sold by him with goods produced and (or) sold by other market entities are public statements, applications, affirmations in which any goods are compared with goods (are considered to be the goods) of other market entities, including the use of a superlative degree, in the absence of documentary evidence of the declared superiority of their goods over a competitor’s goods (attributing its goods to a competitor's goods).

Article 191-1. Creating barriers to change of vendor (supplier) of goods

Barriers to changing the vendor (supplier) of the goods shall be the imposition of contractual termination requirements not previously foreseen or exceeding the requirements at the conclusion of the contract, as well as the failure to make publicly available the information necessary to ensure a free change of vendor (supplier) of the goods.

A competition authority shall determine the procedure for making publicly available the information necessary to ensure a free change of vendor (supplier) of goods.

Footnote. Chapter 16 as supplemented by Article 191-1 in pursuance of Law of the RK No. 101-VII of 03.01.2022 ( shall be enacted upon expiry of sixty calendar days after its first official publication).

Chapter 17. PARTICIPATION OF THE STATE IN ENTREPRENEURSHIP ACTIVITY

Article 192. Grounds for state participation in entrepreneurial activities

1. The state participates in entrepreneurial activity in the following cases:

1) there is no other possibility of ensuring national security, the defence capability of the state or protecting the interests of society;

2) using and maintaining strategic facilities that are in state ownership;

3) carrying out activities in the areas classified as state monopoly;

4) absence or low level of development of competition in the relevant product market;

5) carrying out activities by previously established state enterprises, legal entities, more than fifty percent of the shares (stakes in the authorized capital) of which belong to the state, and persons affiliated with them.

The list of activities carried out by state enterprises, legal entities, more than fifty percent of the shares (stakes in the authorized capital) of which belong to the state, and persons affiliated with them shall be approved by the Government of the Republic of Kazakhstan.

2. The state participation in entrepreneurial activities shall be carried out by:

1) the creation of state enterprises (state entrepreneurship);

2) the direct or indirect participation in the authorized capital of legal entities.

3. The legal entities, more than fifty percent of whose shares (stakes in the authorized capital) owned by the state, and affiliated persons do not have the right to create subsidiaries that carry out activities already represented on the commodity market by private business entities and legal entities, more than fifty percent of whose shares (stakes in the authorized capital) owned by the state and persons affiliated with them, with the exception of cases provided for in sub-paragraphs 1) and 2) of the first part of paragraph 1 of this Article.

4. Establishment of state enterprises, legal entities, with more than fifty percent of shares (stakes in the charter capital) owned by the State, and their affiliated entities, that will operate in the territory of the Republic of Kazakhstan, shall be carried out with the permission of the anti-monopoly authority.

The establishment of legal entities with over fifty per cent of shares (participating interests in the charter capital) owned by the State and their affiliates, classified as small business entities under the criteria established by this Code, as well as State participation therein, shall be prohibited.

The consent of the anti-monopoly authority shall be required when expanding and/or changing the activities performed by state enterprises, legal entities, with more than fifty percent of shares (participation shares in the authorised capital) owned by the state, and affiliated entities that will perform their activities in the territory of the Republic of Kazakhstan.

4-1. Draft legal acts contemplating the establishment, expansion and/or modification of the activities of state-owned enterprises, legal entities with more than fifty per cent of shares (participating interests in the charter capital) owned by the state, and entities affiliated therewith, shall be subject to mandatory approval by the anti-monopoly authority.

5. The creation of legal entities, more than twenty five percent of shares (stakes in the authorized capital) owned by the state, and persons affiliated with them, who will operate in the Republic of Kazakhstan, is carried out with the subsequent sale of shares (stakes in the authorized capital) of the state taking into account the payback period of the project.

6. In the case provided for by paragraph 4 of this Article, the body that makes the decision to establish a state enterprise, a legal entity, more than fifty percent of whose shares (stakes in the authorized capital) owned by the state, and persons affiliated with them who will operate on of the territory of the Republic of Kazakhstan, submits to the anti-monopoly body a petition for such a creation with the provision of substantiating materials in the form established by the anti-monopoly body.

Within sixty calendar days from the moment of receipt of the petition, the anti-monopoly body shall:

1) examine the commodity markets in which it is planned to create a state enterprise, a legal entity, more than fifty percent of whose shares (shares in the authorized capital) belong to the state, and an affiliated person who will operate in the Republic of Kazakhstan;

2) prepare an opinion on the level of competition development in these commodity markets, including the duration of the presence of the state enterprise, legal entity, more than fifty percent of whose shares (stakes in the authorized capital) belong to the state, and the person affiliated with it in this commodity market;

3) to send to the body that submitted the petition, a reasoned decision.

7. The anti-monopoly body refuses to issue consent for the creation of a state enterprise, a legal entity, more than fifty percent of whose shares (stakes in the authorized capital) belong to the state, and an affiliated person who will operate in the Republic of Kazakhstan, if such establishment leads to restriction of competition.

8. Creation, expansion and (or) change of activities of state-owned enterprises, legal entities, with more than fifty percent of shares (stakes in the charter capital) owned by the state, and their affiliated entities, operating in Kazakhstan without the consent of the antimonopoly body, shall be prohibited and shall entail liability as established by the laws of the Republic of Kazakhstan.

In the events specified in part one of this paragraph, the competition authority shall issue an order to rectify the infringement and its consequences.

9. The requirements of parts one and two of paragraph 4, paragraphs 5, 6, 7 and 8 of this Article shall apply only to the cases provided for in subparagraphs 4) and 5) of part one of paragraph 1 of this Article.

Footnote. Article 192 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI(shall be enforced from January 1, 2017); dated May 24, 2018No. 156-VI(shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 101-VII of 03.01.2022 (shall come into force sixty calendar days after the date of its first official publication).

Article 193. State monopoly and special right

1. A state monopoly shall be the exclusive right of the state to produce, sell and (or) purchase any product on a competitive market, enacted in the order prescribed by this Code.

A special right shall refer to the exclusive or preferential right of a market participant, secured by law, to produce, sell and/or purchase a product in a competitive market.

2. The state shall be entitled to restrict competition in those spheres of business where the sale of goods in a competitive market may adversely affect the constitutional order, national security, protection of public order, human rights and freedoms and public health by establishing by law the exclusive right of the state to manufacture and/or sell, purchase or use goods or by granting a special right to market participants by law.

3. The state monopoly entity, excluding the State Corporation "Government for Citizens", the Social Health Insurance Fund and the State Technical Service, may only be a state enterprise established by a decision of the Government of the Republic of Kazakhstan.

The subject of a special right may be a state enterprise, a joint-stock company, a limited liability partnership, one hundred percent of the shares (participation shares in the authorized capital) of which directly or indirectly belong to the state, determined in accordance with the procedure established by the Government of the Republic of Kazakhstan.

The requirement specified in part two of this paragraph does not apply to a Single Operator of marking and traceability of goods and legal entities, more than fifty percent of voting shares of which are directly or indirectly owned by the state, that have placed shares on the primary securities market, as well as affiliated persons.

4. It is prohibited to grant market entities other exclusive or preferential rights to manufacture, sell and (or) purchase any goods on a competitive market in violation of the requirements of this article.

5. The anti-monopoly authority shall compile and keep a state register of state monopoly and special right entities.

6. State monopoly, special right entities shall be prohibited to:

1) produce goods that do not fall within the scope of a state monopoly, a special right, excluding activities associated technologically with the production of goods;

2) hold shares (participatory interests in the authorised capital) and otherwise participate in the activities of other legal entities;

3) assign rights associated with a state monopoly, a special right;

4) set prices for goods produced or sold that differ from the prices set by the public authority administering the relevant branch (area) of government, under the procedure laid down by the anti-monopoly authority.

The restrictions prescribed in sub-paragraphs 1) and 2) of part one of this paragraph shall not apply to the State Corporation "Government for Citizens", the Social Health Insurance Fund, the State Technical Service and the Single Operator for the Marking and Traceability of Goods.

In the event of natural disasters, epidemics, epizootics and restrictions preventing further continuation of the core activity, the Government of the Republic of Kazakhstan shall grant the state monopoly, special right entity the power to perform other activities, technologically close to the core one, for the period until the resumption of the core activity.

7. State monopoly, special right entities shall be public interest entities and shall have obligations in compliance with the accounting and financial reporting legislation of the Republic of Kazakhstan.

State monopoly, special right entities must maintain separate accounting of revenues, costs and assets involved for each type of activity, including technologically related activities.

8. State regulation of the activities of state monopoly, special right entities shall be exercised under the laws of the Republic of Kazakhstan.

9. The list of activities technologically related to the production of goods, works and services shall be approved by the public authority in charge of the respective branch (area) of public administration, in agreement with the anti-monopoly authority.

10. Control over compliance with the restrictions set out in paragraph 6 hereof by state monopoly entities, special rights shall be exercised by the anti-monopoly authority under this Code.

11. When a state monopoly, a special right is imposed, the following conditions shall be observed:

1) market participants must be notified of the decision at least six months prior to its enactment;

2) market participants who have been producing, selling or using the product within a period of six months after the introduction of the state monopoly, special right, shall be authorised to sell the product, except for transactions exceeding the aforementioned period;

3) market participants shall be compensated at the expense of budgetary funds for damage caused as a result of the introduction of a state monopoly, special right, under the civil legislation of the Republic of Kazakhstan.

12. Deprivation of the status of the special right entity shall be effected in case of two or more violations of the requirements hereof within one calendar year by this entity or abuse of its monopoly position on the commodity market under the procedure determined by the Government of the Republic of Kazakhstan.

13. The anti-monopoly authority shall annually analyse the activities of certain state monopoly or special right entities in compliance with the approved schedule and, no later than January 5 of the year following the reporting year, shall submit proposals to the Government of the Republic of Kazakhstan regarding the transfer of activities classified as state monopoly or special right into the competitive environment.

No monopolistic position and/or restriction of competition in the relevant product market shall be permitted in the transfer to a competitive environment.

14. The provisions of this article shall not apply to the activities of the unified accumulative pension fund, subsidiaries of the National Bank of the Republic of Kazakhstan that contribute to the implementation of the functions assigned to them and (or) are part of the financial market infrastructure, the authorized organization for ensuring the functioning of the Semipalatinsk nuclear safety zone, natural monopoly entities.

Footnote. Article 193 - as reworded by Law of the Republic of Kazakhstan No. 101-VII of 03.01.2022 (shall take effect on 01.07.2022); as amended by the Law of the Republic of Kazakhstan dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication); dated 05.07.2023 No. 17-VIII (shall be enforced from January 1, 2024).

Chapter 18. COMPETITION PROTECTION

Article 194. Anti-competitive actions (inaction), agreements between state and local executive bodies, organizations endowed with state functions of regulating the activities of market entities

Footnote. Heading of article 194 as amended by the Law of the Republic of Kazakhstan December 28, 2016 No. 34-VI (shall be enforced from January 1, 2017).

1. Anti-competitive actions (inaction) of state, local executive bodies, organisations assigned by the state with the functions of regulating the activities of market entities, in implementing their state functions or providing state support measures, expressed in actions (inaction), adoption of acts or decisions, that have led or may lead to limitation or elimination of competition, shall be prohibited and deemed void in whole or in part in the manner prescribed by the legislation of the Republic of Kazakhstan, excluding cases envisaged by the laws of Kazakhstan to protect the constitutional order, public order, human rights and freedoms, and the health and morals of the population.

2. The anti-competitive actions (inaction) of state and local executive bodies, organizations endowed with state functions of regulating the activities of market entities, including:

1) the introduction of restrictions on the creation of a market entity in any field of activity;

2) the unreasonable resistance to the activities of the market entity;

3) the establishment of prohibitions or imposing restrictions on the free movement of goods, other restrictions on the rights of a market entity to sell goods;

4) the instructions to the market entity about the priority supply of goods for a certain category of customers or the priority purchase of goods from certain sellers (suppliers) or the conclusion of contracts in priority order;

5) the establishment for consumers of goods restrictions on the choice of market entities that provide such goods;

6) the actions aimed at raising, reducing or maintaining prices;

7) the actions aimed at dividing the commodity market according to the territorial principle, the volume of sales or purchases of goods, the range of goods sold or the composition of sellers (suppliers) or customers;

8) the restriction of access to the commodity market, exit from the commodity market or elimination of market entities from it;

9) the provision to the certain market entities of benefits or other advantages that put them in a privileged position relative to competitors, or the creation of adverse or discriminatory conditions of activity compared to competitors;

10) the direct or indirect coercion of market entities to the priority conclusion of contracts, to the priority delivery of goods to a certain circle of consumers, or the priority purchase of goods from certain sellers (suppliers);

11) failure to provide market actors with equal access to public support measures for private enterprise.

3. The agreements between state, local executive bodies, local self-government bodies, organizations with state regulation functions of market entities, or between them and market entities are prohibited if such agreements lead or may lead to restriction or elimination of competition, except as provided for the laws of the Republic of Kazakhstan in order to protect the constitutional order, protect public order, human rights and freedoms, health and morals as well as international contracts ratified by the Republic of Kazakhstan.

3-1. The following shall be prohibited in the provision of public support measures for private enterprise:

1) limiting access to state support measures for new market actors;

2) imposing additional obligations on private enterprises that are not inherently related to the subject of state support;

3) levying fees and other charges not stipulated by the legislation of the Republic of Kazakhstan;

4) coordination of the activities of recipients of state support measures, if this action would or could lead to the prevention, restriction or elimination of competition.

3-2. The implementation of new measures of state support for private enterprise, the draft regulatory legal act determining the procedure for the provision of state support measures for private enterprise shall be subject to approval by the anti-monopoly authority, subject to the requirements of paragraph 3-1 hereof.

When the anti-monopoly authority approves the introduction of new measures of state support for private enterprise, a draft regulatory legal act defining the procedure for the provision of state support measures for private enterprise shall consider the following::

1) level of product market concentration;

2) existence of economic, technological, administrative barriers to market entry;

3) share of participation of small, medium-sized enterprises;

4) dynamics of the emergence of new market actors;

5) balancing the commodity market, meeting domestic demand;

6) level of state participation in the relevant product market;

7) achievement of the goals, target indicators, objectives and indicators for the development of competition in the goods market, as approved by the documents of the state planning system;

8) other documented circumstances that determine the priority of public support measures for private enterprise, given the state of competition in the commodity market.

3-3. The provisions of paragraphs 1, 2, 3-1 and 3-2 hereof shall not apply to the implementation of a set of anti-crisis measures to support the economy, stimulate business activity and employment, initiated by the instruction of the President of the Republic of Kazakhstan.

4. The draft conclusion on the investigation results of violations of the legislation of the Republic of Kazakhstan in the field of protection of competition in relation to the National Bank of the Republic of Kazakhstan shall be submitted or sent by letter notifying the object of investigation no later than thirty calendar days before the end of the investigation.

5. In case of disagreement with the arguments set forth in the draft conclusion on the investigation results of violations of the legislation of the Republic of Kazakhstan in the field of competition protection and the appeal of the National Bank of the Republic of Kazakhstan at least twenty calendar days before the completion of the investigation, the official (s) of the anti-monopoly body submit for consideration to the conciliation commission a draft conclusion on the investigation results of violations of the legislation of the Republic of Kazakhstan in the field of protection competition, which includes representatives of the National Bank of the Republic of Kazakhstan and the anti-monopoly body.

6. The conciliation commission shall consider the draft conclusion submitted within a period of not more than five calendar days from the date of submission on the subject of its completeness and quality of the evidence contained therein of the facts of violation of the legislation of the Republic of Kazakhstan in the field of competition protection with the invitation to the meeting of persons participating in the investigation.

7. Based on the results of consideration of the draft conclusion, the Conciliation Commission makes comments and recommendations on the presence (absence) of comments.

If the comments to the draft conclusion are accepted by the anti-monopoly body, it is finalized and no later than five calendar days shall be submitted again to the Conciliation Commission for consideration.

If the anti-monopoly body does not accept comments on the draft conclusion, the reasons for the disagreement to the Conciliation Commission shall be presented.

The decision of the anti-monopoly body on the approval of the conclusion shall be taken in the absence of comments from the Conciliation Commission on the draft conclusion and shall be issued by the order of the anti-monopoly body within ten calendar days from the day the investigation is completed.

8. The procedure for the action of the Conciliation Commission and its composition shall be determined by the anti-monopoly body in coordination with the National Bank of the Republic of Kazakhstan.

Footnote. Article 194 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016No. 34-VI (shall be enforced from January 1, 2017); No. 101-VII of 03.01.2022 (shall enter into force sixty calendar days after the date of its first official publication).

Article 195. Prevention of violations of the legislation of the Republic of Kazakhstan in the field of competition protection

In order to prevent violations of the legislation of the Republic of Kazakhstan in the field of competition protection, the anti-monopoly body conducts:

1) the analysis of the state of competition in commodity markets;

2) the regulation of economic concentration;

Subparagraph 3) was valid until January 1, 2017 in accordance with the Code of the Republic of Kazakhstan dated October 29, 2015 No. 375-V.

3) the monitoring of the activities of market entities that occupy a dominant or monopoly position;

4) monitoring of prices in goods markets.

Footnote. Article 195 as amended by the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 195-1. Anti-monopoly compliance

1. The anti-monopoly compliance is a system of measures to prevent violations of the legislation of the Republic of Kazakhstan in the field of competition protection.

2. In order to introduce anti-monopoly compliance, the market entity (s) has the right to adopt acts of anti-monopoly compliance:

1) an external act providing for the policies and rules of fair competition of the market entity (s) in the relevant commodity market;

2) an internal act providing for methods, means of risk assessment, procedures for organising work by a market entity (entities) to manage the risks of violations of the legislation of the Republic of Kazakhstan in the field of protection of competition, developed in compliance with the methodological recommendations approved by the antimonopoly authority.

3. Market entity (entities) shall have the right to send to the antimonopoly authority a draft external act of antimonopoly compliance to establish its compliance with the legislation of the Republic of Kazakhstan in the field of competition protection, which shall be subject to consideration within a month from the date of receipt of the draft external act of antimonopoly compliance.

4. The draft external act of antimonopoly compliance considered by the antimonopoly body in case of its compliance with the norms of the legislation of the Republic of Kazakhstan in the field of competition protection shall be an act of clarifying the legislation of the Republic of Kazakhstan in the field of competition protection in relation to a specific market entity (specific market entities) or in relation to a specific situation.

5. The methodological guidelines for the development and implementation of an internal act of antitrust compliance provide:

1) the stages of developing and implementing a domestic antitrust compliance act;

2) the content of the measures to develop and implement an internal act of anti-monopoly compliance;

3) method(s) for assessing anti-monopoly compliance risks related to the activities of a market participant;

4) establishing an internal control system for anti-monopoly compliance risks;

5) method(s) for assessing the efficiency of the operation of the internal act of anti-monopoly compliance;

6) other provisions for the development and implementation of an internal act of anti-monopoly compliance.

6. The existence of an effectively functioning internal act of anti-monopoly compliance on the part of a market participant shall be taken into account when examining cases of violations of the legislation of the Republic of Kazakhstan in the field of protection of competition.

Footnote. The Code is supplemented by Article 195-1 in accordance with the Law of the Republic of Kazakhstan dated 28.12.2016 No. 34-VI (shall be enforced from 01.01.2017); as amended by Law of the Republic of Kazakhstan No. 268-VI dated 28.10.2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); No. 101-VII of 03.01.2022 (shall be brought into force upon the expiry of sixty calendar days from the date of its first official publication).

Article 196. Analysis of the state of competition in commodity markets

1. The analysis of the state of competition in commodity markets shall be carried out in order to determine the level of competition, identify market entities occupying a dominant or monopoly position, develop a set of measures aimed at protection and development of competition, prevention, restriction and suppression of the monopolistic activities, including in the following cases:

1) regulation of economic concentration;

2) determination of the share of dominance of a market entity when considering features of anti-competitive agreements and concerted actions, abuse of a dominant or monopoly position;

3) establishment of the feasibility of the state presence in the business environment.

2. Analysis of the state of competition on commodity markets shall be conducted pursuant to the methodologies for the analysis of the state of competition approved by the competition authority:

1) in commodity markets;

2) in financial services markets - in coordination with the authorised body for the regulation, control and supervision of the financial market and financial organisations and the National Bank of the Republic of Kazakhstan.

3. The analysis of the state of competition in commodity markets includes the following steps:

1) the definition of criteria for the interchangeability of goods;

2) the determination of the boundaries of the commodity market;

3) the determination of the time interval for research of the commodity market;

4) the determination of the composition of market entities operating in the commodity market;

5) the calculation of the volume of the commodity market and the shares of the market entities;

6) the assessment of the state of the competitive environment in the commodity market;

7) the determination of the circumstances or features indicating the presence of obstacles, difficulties or other restrictions on the activities of market entities that affect the development of competition, including the definition of barriers to entry into the commodity market;

8) the conclusions on the results of the analysis of the state of competition in the commodity market, which are reflected in the conclusion.

4. The boundaries of the commodity market determine the territory in which consumers acquire a product or an interchangeable product, if its acquisition is impractical outside the territory for economic, technological and other reasons.

The goods in Articles 8, 90-6, 120, 160 - 231 of this Code are understood as the goods, work, service, which are the object of civil circulation.

The interchangeable goods are a group of goods that can be comparable in their functional purpose, application, quality and technical characteristics, price, and other parameters in such a way that the consumer replaces them with each other in the process of consumption (production).

5. The boundaries of the commodity market shall be determined based on the availability of the purchase of goods according to the following criteria:

1) the possibility of purchasing goods in a given territory;

2) the reasonableness and justification of transportation costs relative to the cost of goods;

3) the preservation of quality, reliability and other consumer properties of the goods during its transportation;

4) the absence of restrictions (prohibitions) of the sale, importation and exportation of goods;

5) the presence of equal conditions of competition in the territory, within which the sale, supply of goods is carried out.

6. Is excluded by the Law of the Republic of Kazakhstan dated 28.12.2016 No. 34-VI (shall be enforced from 01.01.2017).

7. The volume of the commodity market shall be defined as the sum of the sale of commodities or interchangeable goods within market borders in physical terms or value indicators, taking into account the volume of import and export of goods or interchangeable goods.

In the event that a market entity uses part of its products for its own needs, only the volume sold on the product market is included in the sales volume.

8. The share of the market entity in the relevant commodity market shall be defined as the ratio of the volume of sales by the market entity of the product or interchangeable goods within the geographical boundaries of the market to the total volume of the relevant commodity market.

9. The determination of the share of market entities is possible with the availability of information from the entities, the share of the delivery volume of which in the total supply volume is more than eighty-five percent.

10. The market entities, their associations and chiefs, state bodies, local executive bodies, including the authorized body in the field of state statistics, state revenue bodies, their officials, shall be obliged to provide reliable documents, written and oral explanations and other information at the request of the anti-monopoly body, including information constituting a commercial secret, necessary for the anti-monopoly body to exercise the powers provided for in this Code, within the period established by the anti-monopoly but it shall not be less than five working days.

11. When regulating economic concentration, as well as identifying features of anticompetitive agreements and concerted actions, abuse of the dominant or monopoly position in order to determine the share (s) of dominance of the market entity (s), the state of competition in commodity markets shall be analyzed, not including the phases provided for in sub-paragraphs 6 ) and 7) paragraph 3 of this Article.

If the analysis of the state of competition in the commodity markets in identifying signs of abuse of a dominant or monopolistic position has shown that the market share of the market entity is more than thirty-five but less than fifty percent or there is cumulative dominance of market entities, the analysis of the state of competition in the commodity market shall be performed in observance of all the stages provided for in paragraph 3 hereof.

The analysis for the purpose of establishing the appropriateness of the state's presence in the business environment shall be accomplished based on the steps provided for in sub-paragraphs (1) and (2) of paragraph 3 hereof, in a manner to be determined by the anti-monopoly authority.

12. The analysis of the state of competition in commodity markets shall be carried out on the basis of information provided by the authorized body in the field of state statistics, government bodies, market entities and their associations, as well as information provided in accordance with paragraph 9 of this Article.

The market entity has the right to submit to the anti-monopoly body its marketing research results, which can also be used by the anti-monopoly body in the course of the analysis.

Footnote. Article 196 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI(shall be enforced from January 1, 2017); dated May 24, 2018No. 156-VI(shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 262-VI dated 03.07.2019 (shall be enforced since 01.01.2020); No. 101-VII of 03.01.2022 (shall be enacted upon the expiry of sixty calendar days after its first official publication).
Article 197 was valid until 01.01.2017 in accordance with the Code of the Republic of Kazakhstan dated October 29, 2015 No. 375-V.

Article 197. Monitoring of the activities of market entities that hold a dominant or monopoly position in regulated markets

1. The objectives of monitoring of the activities of market entities that occupy a dominant or monopoly position in regulated markets are to identify and suppress the violations related to the abuse of a dominant or monopoly position, with the exception of violations provided by the legislation of the Republic of Kazakhstan on Natural Monopolies and Regulated Markets.

2. The market entities included in the state register of market entities that hold a dominant or monopoly position in regulated markets shall be obliged to submit to the anti-monopoly body:

1) the audited financial statements for market entities subject to obligatory annual audit in accordance with the legislation of the Republic of Kazakhstan on Auditing Activities for the year - up to August 31 of the following year;

2) the quarterly information on the sale or transfer to discretionary management of ten or more percent of its voting shares (stakes in the authorized capital, units) - up to the fifteenth date following the reporting;

3) the quarterly information on monopoly types of products on the volumes of production and sales, selling prices and the level of profitability of monopoly goods sold in a form determined by the anti-monopoly body - up to the fifteenth day following the reporting one.

Article 198. Caution on the in-permissibility of violation of the legislation of the Republic of Kazakhstan in the field of protection of competition

1. In order to prevent violation of the legislation of the Republic of Kazakhstan in the field of protection of competition, the anti-monopoly body sends a written warning to the official of the market entity, state body, local executive body about the in-permissibility of taking actions that may lead to violation of the legislation of the Republic of Kazakhstan in the field of competition protection.

2. The reason for sending a warning is a public statement by an official of a market entity, a state body, a local executive body about planned behavior in the commodity market, if such behavior may lead to violation of the legislation of the Republic of Kazakhstan in the field of protection of competition and there are no grounds for conducting an investigation.

3. The decision to issue a warning is made by the chief of the anti-monopoly body no later than ten working days from the day when the anti-monopoly body became aware of a public statement by an official of a market entity, a state body, a local executive body about planned behavior in the commodity market.

4. The warning shall contain:

1) the conclusions on the existence of grounds for warning;

2) the norms of the legislation of the Republic of Kazakhstan in the field of protection of competition that can be violated.

Article 199 Notification of the presence in actions (inaction) of signs of violation of the legislation of the Republic of Kazakhstan in the field of competition protection

Footnote. The heading of Article 199 is in the wording of the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

1. If there are features of unfair competition, abuse of a dominant or monopoly position, with the exception of the features specified in sub-paragraph 1) of Article 174 of this Code, anticompetitive concerted actions of market entities, anti-competitive vertical agreements of the market entities indicated in paragraph 2 of Article 169 of this Code, and also features of anti-competitive actions (inaction), agreements of state and local executive bodies, organizations, endowed by the state with functions of regulating the activities of market entities, the anti-monopoly body sends to market entities, state and local executive bodies, organizations endowed by the state with functions of regulation of market entities, notification on presence in actions (inaction) of features of violation of the legislation of the Republic of Kazakhstan in the field of protection of competitors without an investigation.

The notification shall be sent no later than ten working days from the day when the anti-monopoly authority became aware of the presence of these features.

The procedure for issuing a notification and its form shall be approved by the anti-monopoly authority.

2. The antimonopoly body shall make a decision on conducting an investigation if the organization endowed by the state with the function of regulating the activities of market entities, the state, local executive bodies, a market entity has not terminated the actions (inaction) specified in the notification within the time limits established by paragraph 2-1 of this Article.

2-1. The term for execution of the notification and submitting information on its execution shall be thirty calendar days from the date of its receipt by an organization endowed by the state with the function of regulating the activities of market entities, state, local executive bodies, a market entity.

If additional time costs are necessary, an organization endowed by the state with the function of regulating the activities of market entities, state, local executive bodies, a market entity may apply to the antimonopoly body with an application to extend the execution period of the notification no later than three working days before the expiration of the notification execution period.

The measures to be taken for execution of the notification, and the objective reasons for extending the deadline for execution of the notification shall be mandatorily embodied in the application of an organization endowed by the state with the function of regulating the activities of market entities, state, local executive bodies, a market entity.

The antimonopoly body shall make a decision to extend the period for execution of the notication or to refuse to extend it with a reasoned justification within three working days from the date of receipt of the application taking into account the arguments set forth in it.

The period for extending the execution of the notification shall not exceed thirty calendar days.

3. If, within one calendar year from the date of notification, the antimonopoly authority discovers signs of the same violation of the legislation of the Republic of Kazakhstan on protection of competition listed in paragraph 1 hereof in the actions (inaction) of the same entity charged by the state with regulating the activities of market participants, state or local executive body, a market participant, the competition authority shall order an investigation without notice.

Footnote. Article 199 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI(shall be enforced from January 1, 2017); dated May 24, 2018No. 156-VI(shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 101-VII of 03.01.2022 ( shall be put into force sixty calendar days after the date of its first official publication).

Article 200. Economic concentration

Footnote. Heading of article 200 as amended by the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

1. In order to prevent the emergence of a monopoly position and (or) restriction of competition, the prior consent of the anti-monopoly body is necessary for the market entities to carry out transactions (actions) specified in sub-paragraphs 1), 2) and 3) paragraph 1 of Article 201 of this Code, or to notify him of the transactions (actions) specified in sub-paragraphs 4) and 5) of paragraph 1 of Article 201 of this Code.

2. The market entities intending to make or committed economic concentration apply to the anti-monopoly body with a request to give consent to economic concentration or notify the anti-monopoly body of committed economic concentration in the manner provided for by this Code.

3. The market entities intending to make the economic concentration indicated in sub-paragraphs 4) and 5) of paragraph 1 of Article 201 of this Code are entitled to apply to the anti-monopoly body for prior consent in the manner provided for by this Code.

4. If economic concentration is conducted using competitive procedures (auctions, tenders, contests), the petition can be submitted both before the commencement of the tender procedure and after, but no later than thirty calendar days from the date of the winner’s announcement, unless otherwise provided by Law of the Republic of Kazakhstan.

5. State registration, re-registration of market entities, rights to immovable property in cases provided by subparagraphs 1) and 3) of Paragraph 1 of Article 201 of this Code shall be carried out by the State Corporation "Government for Citizens" with the consent of the competition authority.

6. The economic concentration committed without the consent of the anti-monopoly body, which led to the establishment of a monopoly position of the market entity or a group of persons and (or) restriction of competition, can be declared invalid by the court on the suit of the anti-monopoly body.

The state registration, re-registration of a market entity, rights to real estate, carried out in violation of this Article, may be declared illegal in a judicial proceedings and canceled at the suit of the anti-monopoly body.

Footnote. Article 200 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI(shall be enforced from January 1, 2017); dated May 24, 2018No. 156-VI(shall be enforced upon expiry of ten calendar days after the date of its first official publication); No.241-VI dated 02.04.2019 (shall be enforced from 01.07.2019).

Article 201. Regulation of economic concentration

Footnote. Heading of article 201 as amended by the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

1. The economic concentration shall be recognized as:

1) the reorganization of the market entity by merger or accession;

2) the acquisition by a person (group of persons) of voting shares (stakes in the authorized capital, units) of a market entity in which such person (group of persons) is entitled to control more than fifty percent of the specified shares (stakes in the authorized capital, units), if prior to the acquisition, such a person (group of persons) did not control the shares (stakes in the authorized capital, units) of this market entity or controlled fifty percent or less of the voting shares (stakes in the authorized capital, units) specified with the market entity.

This requirement does not apply to the founders of a legal entity when it is created;

3) the obtainment in ownership, possession and use, including through payment (transfer) of the authorized capital, by a market entity (group of persons) of fixed production assets and (or) intangible assets of another market entity, if the balance sheet value of the property constituting the subject of transaction (interrelated transactions), exceeds ten percent of the balance sheet value of fixed production assets and intangible assets of a market entity that alienates or transfers the property;

4) the acquisition of rights by a market entity (including on the basis of a confidential management contract, joint operation agreement, commission contract), which make it possible to give binding instructions to another market entity when conducting its entrepreneurial activity or to perform the functions of its executive body;

5) the participation of the same individuals in the executive bodies, boards of directors, supervisory boards or other management bodies of two or more market entities, provided that these individuals determine the conditions for conducting their entrepreneurial activities in these entities.

2. The economic concentration shall not be recognized as:

1) the acquisition of shares (stakes in the authorized capital, units) of a market entity by financial organizations, if this acquisition is made for the purpose of their subsequent resale, provided that the specified organization does not participate in voting in the governing bodies of the market entity, as well as the acquisition or obtainment in ownership by financial organizations of property, fixed production assets and (or) intangible assets of another market entity in order to terminate the debtor’s obligation in whole or in part, if this acquisition or obtainment is carried out for the purpose of their subsequent resale, provided that financial institutions do not use (do not operate) such property in order to extract income for their own purposes;

2) the appointment of a rehabilitation or bankruptcy administrator, temporary administration (temporary administrator);

3) the implementation of transactions specified in paragraph 1 of this Article, if such a transaction occurs within one group of persons.

3. The consent of the anti-monopoly body to carry out the transactions (actions) indicated in sub-paragraphs 1), 2) and 3) of paragraph 1 of this Article, or its notification about the transactions indicated in sub-paragraphs 4) and 5) of paragraph 1 of this Article, is required in cases if the cumulative book value of the assets of the reorganized market entities (groups of persons) or the acquirer (groups of persons), as well as the market entities, shares (stakes in the authorized capital, units) with voting rights are acquired, or their total sales of goods for the last financial year exceeded the ten million of MCI mounted on the filing date of the petition (notice).

4. The consent of the anti-monopoly body to the transactions specified in paragraph 1 of this Article is not required when the transactions are expressly provided for by this Code, the laws of the Republic of Kazakhstan, decrees of the President of the Republic of Kazakhstan and (or) resolutions of the Government of the Republic of Kazakhstan.

5. Consent to economic concentration with the participation of a financial organization shall be required if the value of assets or the amount of equity capital of a financial organization exceeds the amounts established by the antimonopoly body jointly with the authorized body for regulation, control and supervision of financial market and financial organizations.

If the economic concentration specified in paragraph 1 of this Article is carried out by a market entity that is both a financial organization and a market entity that occupies a dominant or monopoly position in the relevant commodity market, such a market entity is guided by the norm provided for by paragraph 3 of this Article.

6. Based on the analysis of the relevant commodity markets, the anti-monopoly body has the right to establish higher amounts of asset values and sales volumes for these markets, which require the anti-monopoly body to enter into transactions specified in this Article.

7. The total sales of goods in accordance with paragraph 3 of this Article is defined as the sum of income from the sale of goods for the last fiscal year preceding the filing of the petition (notification), minus the amount of value added tax and excise.

If the market entity has been operating for less than one year, the volume of sales of goods shall be determined for the period of the market entity's activity.

8. In the case of transactions provided for in sub-paragraphs 1), 2) and 3) of paragraph 1 of this Article, the prior consent of the anti-monopoly body is required.

In the case of transactions provided for in sub-paragraphs 4) and 5) of paragraph 1 of this Article, the anti-monopoly body shall be notified no later than forty-five calendar days after the date of the transaction.

Footnote. Article 201 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI(shall be enforced from January 1, 2017); dated May 24, 2018No. 156-VI(shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 262-VI dated 03.07.2019 (shall be enforced since 01.01.2020).

Article 202. Persons submitting an application for consent to economic concentration

1. In the cases provided for by sub-paragraph 1) of paragraph 1 of Article 201 of this Code, the petition is filed with the anti-monopoly body by the person making the relevant decision or the founders (participants) of the market entity.

2. The petition on a consent to the economic concentration specified in sub-paragraphs 2) and 3) of paragraph 1 of Article 201 of this Code shall be submitted to the anti-monopoly body by the person acquiring voting shares (stakes in the authorized capital, units), fixed production assets, intangible assets or related rights.

3. If several persons act as party to the transactions specified in sub-paragraphs 1), 2) and 3) of paragraph 1 of Article 201 of this Code, the petition may be filed by one person on behalf of the other participants in the transaction. The petition shall indicate the person authorized to represent in the anti-monopoly body the interests of the persons who have decided to commit economic concentration.

Article 203. Procedure for petition filing

1. The petition shall be drawn up in the form established by the antimonopoly body, with the documents and information provided for in Article 204 of this Code attached.

2. The information indicated in the petition and the documents attached to the application shall be reliable and complete, presented in the form of originals or copies of originals certified in the manner prescribed by the legislation of the Republic of Kazakhstan. The person who signed the petition shall confirm in writing the accuracy and completeness of the information and documents presented in the petition and its annexes.

3. The petition and annexes to it, submitted by an individual, shall be certified by a notarized signature of an individual.

4. The submitted documents and information shall be numbered and submitted indicating the numbers of the paragraphs and sub-paragraphs of Article 204 of this Code. There is an exhaustive answer for each question of the paragraph and subparagraph.

If it is not possible to provide full information to the economic concentration participant, the estimated or forecast information is provided, indicating that it is estimated or forecasted, as well as the sources of its receipt and the used methods of estimation and forecast.

5. The information constituting a commercial secret shall be submitted with the obligatory mark “commercial secret”.

6. The information and documents for the petition shall be submitted for the financial year preceding the year of submission of the petition, as well as for the current period from the beginning of the year, indicating the time period.

In the absence of information and documents compiled for the current period from the beginning of the year, information and documents shall be submitted for the financial year preceding the year of application filing.

In the event that a market entity existed for a period shorter than the last fiscal year preceding the filing of the petition, the information and documents shall be submitted during the time from the beginning of the activity of the market entity.

7. The information on the volumes of production, sales of goods in the Republic of Kazakhstan, the volumes of export and import of goods of a market entity (group of persons) are submitted for two financial years preceding the year of application, for the current period from the beginning of the year, and a three-year forecast is presented, following the current period.

In the event that a market entity has been in business for less than two years at the time of filing the petition, the information and documents shall be submitted during the time from the beginning of the market entity’s activities.

8. The third parties shall be entitled to participate in the consideration of a petition on a consent to an economic concentration, if the decision of the anti-monopoly body can substantially affect their rights protected by this Code.

The issue of engaging in the consideration of a petition on a consent to an economic concentration of third parties shall be decided by the anti-monopoly body, and the person who filed the petition shall be notified.

Footnote. Article 203 as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 204. Documentation attached to the petition on a consent to economic concentration

1. The documentation required for submitting to the anti-monopoly body a petition on a consent to the economic concentration provided for in sub-paragraph 1) of paragraph 1 of Article 201 of this Code includes:

1) is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

2) the justification of the purpose of reorganization of the market entity, including the planned amendments in the kinds of activities or geography of their business operations;

3) the approved charter and Founding Agreement of the created market entity or their projects;

4) the list of information and conditions for the transfer of property transferred to the created market entity;

5) for each of the reorganized market entities, as well as for each market entity entering with the reorganized market entities into one group of persons, the following shall be indicated:

for an individual - the data of the document certifying his identity, information on citizenship, as well as the place of residence and legal address;

name, legal and actual address;

the size of the charter capital and the stake in the charter capital;

types of shares;

6) the list of members of the executive body, the board of directors (supervisory board) indicating the position, which are also members of the executive body, the board of directors (supervisory board) of other market entities;

7) the volume of production and sale of goods, exports and imports of goods in the Republic of Kazakhstan, produced and sold by reorganized market entities;

8) the volume of production and sale, export and import in the Republic of Kazakhstan of the same or interchangeable goods produced or sold by market entities belonging to the same group of persons with reorganized market entities;

9) is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

2. The list of documents and information necessary for filing a petition with the anti-monopoly body for consent to the economic concentration provided for in sub-paragraph 2) of paragraph 1 of Article 201 of this Code:

1) the contract or draft of the contract or other document confirming the transaction;

2) for the acquirer and for each market entity entering with the acquirer in one group of persons, the following shall be indicated:

for an individual - the data of the document certifying his identity, information on citizenship, as well as the place of residence and legal address;

name, legal and actual address;

the size of the charter capital and the stake in the charter capital;

types of shares;

the volume of production and sales, exports and imports to the Republic of Kazakhstan of goods similar to goods or interchangeable goods produced or sold by a market entity in respect of which the actions are performed, as provided for in sub-paragraph 2) of paragraph 1 of Article 201 of this Code;

3) the list of members of the executive body, board of directors (supervisory board) indicating the position, which are also members of the executive body, board of directors (supervisory board) of other market entities;

4) the volume of production and sale, export and import of goods in the Republic of Kazakhstan of the market entity in relation to which the actions are performed, as provided for in sub-paragraph 2) of paragraph 1 of Article 201 of this Code;

5) the volume of production and sale, export and import in the Republic of Kazakhstan of the same or interchangeable goods produced or sold by market entities under the direct or indirect control of the market entity in relation to which the actions provided for in sub-paragraph 2) of paragraph 1 of Article 201 of this Code are performed.

6) is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
7) is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

3. The list of documents required for filing a petition with the anti-monopoly body on a consent to the economic concentration provided for in sub-paragraph 3) of paragraph 1 of Article 201 of this Code:

1) a contract or draft of the contract;

2) for the acquirer and for each market entity entering with the acquirer in one group of persons, the following shall be indicated:

for an individual - the data of the document certifying his identity, information on citizenship, as well as the place of residence and legal address;

name, legal and actual address;

the size of the charter capital and the stake in the charter capital;

types of shares;

the volume of production and sales, exports and imports in the Republic of Kazakhstan of the same or interchangeable goods that will be produced using the purchased property;

3) the list of the property constituting the subject of the transaction, with an indication of the balance sheet value;

4) the information on the release of which goods the resulting property was and will be used, indicating the types of goods;

5) the forecast of production and sale of goods using the resulting property, indicating the types of goods;

6) is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

4. The foreign legal entity, in addition to the information provided in accordance with this Article, additionally provides:

1) a notarized extract from the trade register of the country of origin or other equivalent document confirming its legal status, in accordance with the laws of the country of its location;

2) is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

3) information with the list of types of goods produced and (or) sold in the Republic of Kazakhstan by a branch or representative office, if a foreign legal entity or market entity with foreign participation - the acquirer has a branch or representative office in the Republic of Kazakhstan.

5. In the case provided for in paragraph 3 of Article 200 of this Code, a petition on a consent to economic concentration is filed by the person acquiring the relevant rights, with the submission of a list of documents and information provided for in Article 207 of this Code.

6. Is excluded by the Law of the Republic of Kazakhstan dated 28.12.2016 No. 34-VI (shall be enforced from 01.01.2017).
Footnote. Article 204 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI(shall be enforced from January 1, 2017); dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);

Article 205. Terms of consideration of the petition on a consent to the economic concentration

1. The anti-monopoly body shall, within ten calendar days from the date of receipt of the petition, verify the completeness of the submitted materials and notify the person who filed the petition in writing about accepting or refusing to accept the petition for consideration.

2. The term for consideration of a petition on a consent to the economic concentration shall not exceed thirty calendar days from the moment of acceptance of the petition for consideration.

3. The term for consideration of the petition is suspended if it is impossible to consider the petition before the decision is taken by the anti-monopoly body or the court on the specified or related other petition, which the anti-monopoly body is obliged to notify in writing the person who submitted the petition within three working days.

4. During the consideration of the petition, the anti-monopoly body has the right to request, within a term that shall not be less than five working days, from the market entity and / or the state body request additional information and / or documents necessary for making the decision.

5. For the period of submitting additional information and (or) documents, as well as when analyzing the state of competition in commodity markets, the time for consideration of the application is suspended, the anti-monopoly body shall be obliged to notify the person who submitted the decision within three working days from the time such a decision is made, he is obliged to notify in writing the person who submitted the petition.

The analysis of the state of competition in commodity markets when making economic concentration shall be required if the persons participating in the transaction (group of persons) carry out activities to sell similar or interchangeable goods and (or) features of restriction of competition.

6. The anti-monopoly body resumes consideration of the petition on a consent to economic concentration after the submission of additional information and (or) documents by the market entity and (or) government bodies, which shall be notified in writing to the person who submitted the petition within three working days. From the day of resumption of consideration of the petition on a consent to an economic concentration, the period of consideration continues.

Footnote. Article 205 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016No. 34-VI(shall be enforced from January 1, 2017).

Article 206. Procedure for notifying the anti-monopoly body of the committed economic concentration

The market entities that have committed the transactions provided for in sub-paragraphs 4) and 5) of paragraph 1 of Article 201 of this Code shall notify the anti-monopoly body within the period established by the second part of paragraph 8 of Article 201 of this Code.

Notification of committed economic concentration may be submitted both directly to the antimonopoly body and through communication institutions.

The anti-monopoly body shall be notified by:

1) an individual who is a member of the executive bodies, boards of directors, supervisory boards or other governing bodies of two or more market entities, subject to the determination by the specified individual of the conditions for conducting their entrepreneurial activities;

2) a market entity acquiring rights (including on the basis of a confidential management contract, a joint operation agreement, commission contract), allowing to give binding instructions to another market entity when it conducts entrepreneurial activities or to perform the functions of its executive body.

Footnote. Article 206 as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 207. Documentation attached to the notification (petition) to the anti-monopoly body on the committed (planned) economic concentration

1. The list of documents and information required for sending (filing) a notification (petition) to the anti-monopoly body on the committed (planned) economic concentration, as provided for in sub-paragraph 4) of paragraph 1 of Article 201 of this Code:

1) a copy of the contract (draft of the contract), certified by a legal entity, or another document confirming the commission (intention to commit) of the transactions(transaction);

2) for the acquirer and for each market entity entering with the acquirer in one group of persons, the following shall be indicated:

for an individual - the data of the document certifying his identity, information on citizenship, as well as the place of residence and legal address;

name, legal and actual address;

size of the charter capital and stake;

types of shares;

the volume of production and sales, exports and imports to the Republic of Kazakhstan of goods similar to goods or interchangeable goods produced or sold by a market entity in respect of which the actions are performed, as provided for in sub-paragraph 4) of paragraph 1 of Article 201 of this Code;

3) the list of members of the executive body, board of directors (supervisory board) indicating the position, which are also members of the executive body, board of directors (supervisory board) of other market entities;

4) the volume of production and sale, export and import of goods in the Republic of Kazakhstan of the market entity in relation to which the actions are performed, as provided for in sub-paragraph 4) of paragraph 1 of Article 201 of this Code;

5) the volume of production and sale, export and import in the Republic of Kazakhstan of the same or interchangeable goods produced or sold by market entities under the direct or indirect control of the market entity in relation to which the actions provided for in sub-paragraph 4) of paragraph 1 of Article 201 of this Code are performed.

6) is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication);
7) is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

2. The list of documents and information required for sending (filing) a notification (petition) to the anti-monopoly body on the committed (planned) economic concentration, as provided for in sub-paragraph 5) of paragraph 1 of Article 201 of this Code:

1) information about the individual whose participation is expected in the executive bodies, boards of directors, supervisory boards and other management bodies of two or more market entities:

data of an identity document, information on citizenship, place of work, position held, allowing to determine the conditions for doing entrepreneurial activity in these entities with an indication of the powers;

the list of legal entities in which the person sending (giving) the notification (petition) determines the conditions for conducting entrepreneurial activity with an indication of the powers;

2) the name of the legal entity (group of persons) and the governing body to which the person sending (submitting) the notice (petition) is appointed or elected;

3) the name of the position in the market entities, in the executive bodies, boards of directors, supervisory boards and other governing bodies of which it is planned to include the person sending (submitting) the notification (petition);

4) a list of rights allowing the person sending (giving) the notification (petition) to determine the conditions for doing entrepreneurial activity in market entities, to executive bodies, boards of directors, supervisory boards and other management bodies of which the person is expected to enter;

5) for each market entity and group of persons in which the person sending (giving) the notification (petition) determines the conditions for doing entrepreneurial activity, the following shall be indicated:

name of the market entity, legal and actual addresses;

volume of production, sales, exports and imports of goods in the Republic of Kazakhstan;

6) on the market entity in which participation of the person sending (giving) the notification (petition) is planned, as well as the group of persons to which the person belongs, shall indicate:

name of the market entity, legal and actual addresses;

volume of production, sale, export and import of the same or interchangeable goods in the Republic of Kazakhstan, produced and sold by the market entity and a group of persons in which the person sending (giving) the notification (petition) determines the conditions for doing entrepreneurial activity.

Footnote. Article 207 as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 208. Decision on a petition on a consent to economic concentration

1. Based on the results of the consideration of the petition on a consent to the economic concentration, the anti-monopoly body takes one of the following decisions:

1) on a consent to economic concentration;

2) on the prohibition of economic concentration with a motivated conclusion.

2. The decision of the antimonopoly body on consent to economic concentration or prohibition of economic concentration shall be documented by an act of the antimonopoly body and, within three working days from the date of adoption of such a decision, shall be sent to the person who submits the application, and in relation to financial organizations and the authorized body for regulation, control and supervision of financial market and financial organizations.

3. The consent of the anti-monopoly body to the economic concentration may be due to the participants fulfilling the economic concentration of certain requirements and obligations that eliminate or mitigate the negative impact of economic concentration on competition.

Such conditions and obligations can relate to, including, but not limited, the restrictions on the management, use or disposal of property.

4. The economic concentration shall be carried out within a year from the date of the decision of the anti-monopoly body to grant a consent to economic concentration. If the economic concentration is not implemented within the prescribed period, the participants of the economic concentration shall submit a new petition for granting permission for economic concentration.

5. The anti-monopoly body, on its own initiative or a application of the interested person, reviews its decision on consent or prohibition of economic concentration in the following cases:

1) if, within three years after the adoption of the decision, the circumstances became known, on the basis of which the adoption of this decision should have been refused;

2) if the decision was made on the basis of inaccurate information provided by the person who filed the petition for economic concentration, which led to the adoption of an illegal decision;

3) the non-fulfillment by the participants of the economic concentration of the requirements and obligations that caused the decision of the anti-monopoly body.

6. Based on the results of the decision review, the anti-monopoly body:

1) leaves the decision without amendment;

2) amends the decision;

3) cancels the decision;

4) adopts a new decision.

7. If, based on the results of the revision of the decision, the anti-monopoly body decides to cancel consent to economic concentration, the state registration, re-registration of the market entity, real estate rights shall be recognized as illegal and canceled at the suit of the anti-monopoly body.

8. For consideration of additional information and documents that may change the previously adopted decision of the anti-monopoly body, the applicant shall submit a petition in the manner established by this Code.

9. The decision of the anti-monopoly body to revise a previously adopted decision on economic concentration is compiled by an act of the anti-monopoly body and within three working days from the moment such a decision is adopted, it is sent to the person concerned.

10. The economic concentration is prohibited if it leads to restriction of competition.

Footnote. Article 208 as amended by Law of the Republic of Kazakhstan No. 262-VI dated 03.07.2019 (shall be enforced since 01.01.2020).

Article 209. Adoption of the decision by the anti-monopoly body on the notification of a committed economic concentration.

1. If, after thirty calendar days after the notification of the committed economic concentration has been received by the anti-monopoly body, the anti-monopoly body is not notified of the need to cancel the transaction to the person who sent the notification, the economic concentration shall be considered implemented.

2. In the event that the anti-monopoly body, when considering a notification of committed economic concentration, determines that its conduct has or may lead to restriction or elimination of competition, including by creating or strengthening the dominant position of the market entity, the anti-monopoly body issues an order to cancel transaction that is subject to execution within thirty calendar days.

3. In case of non-fulfillment of the improvement notice on the need for canceling the transaction, the anti-monopoly body will file a claim with court to compel the market entity to fulfill this improvement notice of the anti-monopoly body.

Footnote. Article 209 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016No. 34-VI(shall be enforced from January 1, 2017).

Article 210. Grounds for discontinuing consideration of a petition on a consent to economic concentration

1. The consideration of a petition on a consent to economic concentration shall be discontinued in the following cases:

1) the receipts from applicants of the notifications on withdrawal of the petition;

2) the applicant’s failure to provide information within a period specified by the anti-monopoly body, if the absence of such information prevents the consideration of the petition;

3) the provision by the applicant of unreliable information affecting the objective consideration of the petition.

2. The decision of the anti-monopoly body on the discontinuation of consideration of the petition shall be compiled by an act of the anti-monopoly body and shall be sent to the person who filed the petition within three working days from the moment such a decision is adopted.

3. After the discontinuation of consideration of the petition, the applicant shall be entitled to apply to the anti-monopoly body with a new application on consent to economic concentration.

Article 210-1. Authorised person

1. To conduct an expert evaluation of the fulfilment of the requirements and obligations stipulated in the decision of the competition authority on consent to economic concentration, a market participant shall have the power to engage a trusted person determined in accordance with the requirements laid down herein.

2. An authorised person shall be a person who has special scientific or practical knowledge of the matters that are the subject of an economic concentration.

3. An agreement shall be concluded between the authorised person and the market participant in the standard form approved by the competition authority.

The authorised person shall report to the competition authority on the conclusion of the contract no later than ten calendar days after the date of entry into force of the contract.

4. The authorised person must be independent in relation to the parties to the economic concentration.

A person may not be engaged as an authorised person:

1) which is a participant in an economic concentration or is a member of the same group of persons as the participant in the economic concentration;

2) is a competitor of a participant in an economic concentration and (or) is a member of the same group of persons as that person or is a member of the same group of persons as a competitor of a participant in an economic concentration.

5. The authorised person shall provide an expert assessment of the market participant's compliance with economic, behavioural, organisational, structural and other requirements and obligations, including those relating to:

1) the division of a market entity or the spinning off of a legal person;

2) sale, transfer by a market participant of property, property and other rights to third parties;

3) separation of the management functions of market entities within a group of persons or structural subdivisions of a market entity to avoid conflicts of interest;

4) production and/or sale of goods, direction of investments, fulfilment of social, economic and other conditions of conduct on the commodity market;

5) ensuring non-discriminatory access to the goods of a market participant;

6) taking measures to prevent breaches of the legislation of the Republic of Kazakhstan on the protection of competition.

6. The authorised person shall submit to the competition authority an expert opinion on the market participant's compliance with the requirements and obligations stipulated in the decision of the competition authority on consent to economic concentration.

7. The authorised person shall be entitled to access electronic and paper documents, automated databases (information systems), electronic and other data carriers of the relevant market entity that are necessary for the authorised person to perform its functions, including information constituting confidential information and (or) trade secrets, provided that a written commitment on non-disclosure of information constituting legally protected secrets is provided.

8. The authorised person shall have the right to refuse to submit an expert opinion on matters beyond his/her special knowledge or if the materials and information submitted to him/her are insufficient for the submission of the expert opinion.

9. For the submission of a knowingly false expert opinion, an authorised person shall be liable as prescribed by the laws of the Republic of Kazakhstan.

10. The competition authority shall keep a register of authorised persons under a procedure determined by the competition authority.

Candidates proposed by business associations shall be included in the register of authorised persons.

11. The services of the authorised person shall be at the expense of the market participant, in compliance with the contract.

Footnote. Chapter 18 as supplemented by Article 210-1 under Law of the RK No. 101-VII of 03.01.2022 (shall be effective upon expiry of sixty calendar days after the date of its first official publication).

Article 211. Procedure for notifying the anti-monopoly body of the implementation by a natural monopoly entity of activities not related to regulated services (goods, works)

Footnote. Article 211 is excluded by the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication).

Chapter 19. INTERACTION OF THE ANTI-MONOPOLY BODY WITH THE LAW ENFORCEMENT BODIES OF THE REPUBLIC OF KAZAKHSTAN AND THE ANTI-MONOPOLY BODIES OF OTHER STATES

Footnote. Chapter 19 is excluded by the Law of the Republic of Kazakhstan dated 28.12.2016 No. 34-VI (shall be enforced from 01.01.2017).

Chapter 20. IDENTIFICATION OF VIOLATIONS OF LEGISLATION OF THE REPUBLIC OF KAZAKHSTAN IN THE FIELD OF COMPETITION PROTECTION

Article 216. Grounds for initiating an investigation of violation of the legislation of the Republic of Kazakhstan in the field of competition protection

1. The anti-monopoly body, within its authority, investigates violations of the legislation of the Republic of Kazakhstan in the field of competition protection and takes a decision based on the investigation results.

The investigation refers to measures taken by the anti-monopoly body aimed at collecting the facts that confirms or refutes the violation of the legislation of the Republic of Kazakhstan in the field of competition protection, in the manner provided for by this Code.

2. The basis for initiating an investigation is the receipt by the anti-monopoly body of information about a violation of the legislation of the Republic of Kazakhstan in the field of competition protection, which are:

1) materials received from state authorities indicating a breach of the legislation of the Republic of Kazakhstan in the field of protection of competition or indications thereof;

2) the appeal of an individual and (or) legal entity, indicating features of violation of the legislation of the Republic of Kazakhstan in the field of competition protection;

3) the detection by the anti-monopoly body in the course of its activities in the actions of the market entity, government bodies, local executive bodies of features of violation of the legislation of the Republic of Kazakhstan in the field of competition protection;

4) the media reports on the presence of features of violations of the legislation of the Republic of Kazakhstan in the field of competition protection, received by the anti-monopoly body;

5) failure by a market entity, state body, local executive body, organization endowed by the state with the functions of regulating the activities of market entities, notifying the antimonopoly body about the presence in the actions (inaction) of the market entity, state, local executive bodies, an organization endowed with the state with the functions of regulating the activities of the market entities, signs of violation of the legislation of the Republic of Kazakhstan in the field of competition protection within the prescribed period.

3. The start of an investigation is documented by an investigation order.

4. The copy of the investigation order, no later than three working days from the date of its signing, shall be sent to the applicant and the investigation object, with the exception of the investigation objects, the actions of which contain features of a cartel.

The copy of the investigation order is handed over to the investigation objects, in the actions of which there are features of a cartel at the time of the investigation.

Footnote. Article 216 as amended by Laws of the Republic of Kazakhstan No. 268 VI- of 28.10.2019 (shall come into effect ten calendar days after its first official publication); No. 101-VII of 03.01.2022 (shall be put into force sixty calendar days after the date of its first official publication).

Article 217. Persons involved in the investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection

1. The persons participating in the investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection are:

1) an applicant - an individual or legal entity who has sent information to the anti-monopoly body on violation of the legislation of the Republic of Kazakhstan in the field of competition protection;

2) an object of investigation is an individual, a legal entity or its branch, which is an independent taxpayer (with the exception of financial organizations), in respect of whose actions the investigation is being conducted. These persons shall be recognized as the object of investigation from the moment the order for conducting an investigation is issued;

3) interested persons - the individuals or legal entities whose rights and legal interests are affected in connection with the consideration of a case on violation of the legislation of the Republic of Kazakhstan in the field of competition protection;

4) an official of the anti-monopoly body - an employee of the anti-monopoly body authorized to conduct an investigation;

5) a witness - any individual who may be aware of any circumstances relevant to the investigation;

6) an expert - an uninterested individual with special scientific or practical knowledge.

2. When conducting an investigation, the persons participating in the case shall be entitled to exercise their rights and obligations independently or through a representative.

3. If during the investigation it is established that the features of violation of the legislation of the Republic of Kazakhstan in the field of competition protection are contained in the action (inaction) not of the investigation object, but of another person, the anti-monopoly body engages such person as the investigation object in the manner provided for by Article 216 of this Code.

Footnote. Article 217 as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 218. Investigation

1. In the case of the availability of facts indicating the presence in the actions of a market entity, a state body, a local executive body, an organization endowed with state functions of regulating the activities of market entities, features of violations of the legislation of the Republic of Kazakhstan in the field of competition protection, established as part of the consideration of information provided for paragraph 2 of Article 216 of this Code, the anti-monopoly body shall issue an investigation order.

2. The anti-monopoly body in the presence of features provided for:

1) by paragraph 3 of Article 169, paragraph 1 of Article 170 of this Code, prior to the investigation, analyzes the state of competition in commodity markets in order to determine the share of dominance of the market entity;

2) in Article 174 of this Code, prior to the investigation, analyzes the state of competition in commodity markets in order to identify the dominant or monopoly position of the market entity.

At the same time, the anti-monopoly response measures shall be applied to this market entity over the period of its actual dominance.

3. The investigation order shall contain:

1) the name of the object or objects of investigation;

1) the grounds for an investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection;

3) the features of violation of the legislation of the Republic of Kazakhstan in the field of competition protection, which are found in the actions (inaction) of the investigation object;

4) the date of commencement and completion of the investigation;

4-1) scope of investigation;

4-2) the checked period;

5) the full name (if it is indicated in the identity document) of the official of the anti-monopoly body authorized to conduct the investigation;

6) the rights of persons involved in the investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection.

4. The investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection shall be carried out in a term not exceeding three months from the date of issuing an order to conduct an investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection. The term of the investigation can be extended by the anti-monopoly body, but not more than two months. The order shall be issued on the extension of time, the copies of the order shall be sent to the applicant and the investigation object within three working days from the date of its publication.

5. Prior to the commencement of an investigation, the competition authority shall register with the authority responsible for legal statistics and special registers the order to conduct the investigation by submitting it to the territorial unit of the authority responsible for legal statistics and special registers, including in electronic form.

6. The anti-monopoly body during an investigation may decide to merge several investigations into one or to separate and conduct a separate investigation.

7. The time limit for a joint investigation shall be calculated from the date of the first investigation.

Footnote. Article 218 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI(shall be enforced from January 1, 2017); dated May 24, 2018No. 156-VI(shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 268-VI dated October 28, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); No. 101-VII of 03.01.2022 (shall come into force sixty calendar days after the date of its first official publication).

Article 219. The evidence in the investigation of violation of the legislation of the Republic of Kazakhstan in the field of competition protection

1. The evidence of violations of the legislation of the Republic of Kazakhstan in the field of competition protection can be any facts relevant to the proper conduct of an investigation, including:

1) the explanations of the applicant, the object of investigation, interested persons and witnesses;

2) the expert opinions;

3) the material evidence;

4) other documents (including materials containing computer information, photographs and filming, sound, audio and video recordings).

2. The collection of evidence shall be carried out by an official of the anti-monopoly body.

3. The persons participating in the investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection shall be entitled to submit facts and prove their authenticity.

Article 220. Rights of persons involved in the investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection

The persons involved in the investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection shall be entitled to:

1) familiarise with case materials, make extracts from them and make copies, except for materials containing confidential information and (or) commercial secrets of other market entities;

2) present evidence and participate in their research;

3) ask questions to other persons involved in the case;

4) file petitions for the involvement of experts;

5) give explanations in writing or oral form, to bring their arguments on all issues arising during the investigation;

6) familiarise with the petitions of other persons participating in the investigation, to object to the petitions, arguments of other persons participating in the investigation.

The object of investigation shall have the right to apply to the antimonopoly body for submission to the conciliation commission of a draft conclusion based on the results of the investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection.

Footnote. Article 220 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016No. 34-VI (shall be enforced from January 1, 2017); dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 221. Rights of officials of the competition authority in conducting an investigation

Footnote. Title as amended by Law of the RK No. 101-VII of 03.01.2022 (shall be enacted upon expiration of sixty calendar days after the date of its first official publication).

The officials of the anti-monopoly body shall be entitled to:

1) unimpeded access to the territory and premises of the investigation object;

2) access to automated databases (information systems) and other electronic media of the investigation object in accordance with the subject of the investigation;

3) request, within the time set by the anti-monopoly body, from the employees of the investigation object the necessary information, documents or copies thereof relating to the subject of the investigation, explanations in oral and written form on issues arising during the investigation;

4) the involvement of specialists from other state bodies of the Republic of Kazakhstan and other persons during the investigation as experts

5) the inspection of objects, electronic and paper documents and other information carriers located in the premises and on the territory of the investigation object, in accordance with the subject of the investigation;

6) make copies of documents, information from the database (information systems) and other electronic media of the investigation object in accordance with the subject of the investigation;

7) audio, photo and video recording:

actions (inaction) of the employees of the investigation object and other persons in the territory of the investigation object;

premises and territories of the investigation object;

property located in the premises or on the territory of the investigation object;

8) sample products for examination.

The procedure for sampling of products for examination shall be determined in accordance with Article 149 of this Code.

All rights of officials of the anti-monopoly body, provided for in this article, shall be exercised from 9.00 am to 18.00 pm local time and in accordance with the subject of the investigation.

If it is necessary to prevent violations, the exercise of the powers of officials of the anti-monopoly body can be held outside working hours (night time, weekends or holidays).

Footnote. Article 221 as amended by the the Law of the Republic of Kazakhstan dated May 24, 2018 No. 156-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 222. Suspension and reinstatement of an investigation of a case of infringement of the legislation of the Republic of Kazakhstan in the field of protection of competition

Footnote. The title as amended by Law of the RK No. 101-VII of 03.01.2022 (shall be enforced upon expiration of sixty calendar days after the date of its first official publication).

1. The anti-monopoly body shall be entitled to suspend the investigation of violation of the legislation of the Republic of Kazakhstan in the field of competition protection in the following cases:

1) consideration by the anti-monopoly body, court, criminal prosecution authorities of another case that is relevant for the investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection;

2) conducting another investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection in relation to the same object of investigation;

3) examination;

4) the need to analyze the state of competition in commodity markets if during the investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection it will be established that, despite the excess of a fifty percent share in the market of a certain commodity, the position of the market entity in the commodity market shall not be dominant.

1-1. Investigation of a breach of the legislation of the Republic of Kazakhstan in the field of protection of competition shall be resumed within three working days:

1) in the cases stipulated by sub-paragraph 1) of paragraph 1 hereof - from the date of a decision by an anti-monopoly authority, criminal prosecution authorities, entry into force of a judicial act in another case relevant to the investigation of a violation of the legislation of the Republic of Kazakhstan on protection of competition;

2) in the case provided for in sub-paragraph 2) of paragraph 1 hereof - from the date of completion of another investigation of infringement of the legislation of the Republic of Kazakhstan in the field of protection of competition in respect of the same person subject to investigation;

3) in the case provided for in sub-paragraph 3) of paragraph 1 hereof - from the date of submission of the expert opinion to the competition authority;

4) in the cases provided for in sub-paragraph 4) of paragraph 1 hereof - from the date of completion of the analysis of the state of competition in the commodity market.

2. The term of investigation of violation of the legislation of the Republic of Kazakhstan in the field of competition protection shall be interrupted when the investigation is suspended and continues from the moment the investigation is resumed.

3. A decision to suspend or resume an investigation or to order an expert examination shall be issued by the officials of the competition authority authorised to conduct the investigation. A copy of the ruling on the appointment of an expert examination shall be sent to the expert and the person subject to investigation within three working days from the date of such ruling.

A copy of the decision to suspend, resume the investigation of breaches of legislation of the Republic of Kazakhstan in the field of protection of competition shall be sent to the person subject to investigation within three working days from the date of such determination.

Footnote. Article 222 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016No. 34-VI (shall be enforced from January 1, 2017); No. 101-VII of 03.01.2022 (shall enter into force sixty calendar days after the date of its first official publication).

Article 223. Termination of the investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection

The anti-monopoly body stops investigation of violations of the legislation of the Republic of Kazakhstan in the field of competition protection in the event of:

1) the absence in the actions of the investigation object of violations of the legislation of the Republic of Kazakhstan in the field of competition protection;

2) liquidation of a legal entity - the only object of investigation;

2-1) deregistration of a branch of a legal entity - the only object of investigation;

3) the death of an individual - the only object of investigation;

4) the expiry of the period of limitations established by the Administrative Violations Code of the Republic of Kazakhstan;

5) the presence of a judicial act that has entered into legal force, which contains conclusions on the presence or absence of a violation of the legislation of the Republic of Kazakhstan in the field of competition protection in the actions (inaction) considered by the anti-monopoly body.

Footnote. Article 223 as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 224. Decisions of the anti-monopoly body based on the investigation results of violations of the legislation of the Republic of Kazakhstan in the field of competition protection

1. Based on the investigation results of violations of the legislation of the Republic of Kazakhstan in the field of competition protection, an official of the anti-monopoly body prepares an opinion on the basis of which the anti-monopoly body takes one of the following decisions on:

1) termination of the investigation of violation of the legislation of the Republic of Kazakhstan in the field of competition protection on the grounds provided for by Article 223 of this Code;

2) initiation of an administrative violation case and in the cases established by sub-paragraphs 1) and 2) of paragraph 1 of Article 226 of this Code, the issuance of the involvement notice;

3) issuing an order to eliminate violations of the legislation of the Republic of Kazakhstan in the field of competition protection;

4) the transfer of materials to law enforcement authorities for the production of pre-trial investigation.

1-1. The draft conclusion on the investigation results of violations of the legislation of the Republic of Kazakhstan in the field of protection of competition shall be submitted or sent by letter notifying the object of investigation no later than thirty calendar days before the end of the investigation.

2. If the person subject to investigation appeal at least twenty calendar days prior to completion of the investigation, the official(s) of the antimonopoly authority shall, no later than twenty-five calendar days after receipt of such appeal, submit to the conciliation commission a draft conclusion on the investigation of violations of the legislation of the Republic of Kazakhstan in the field of protection of competition.

The conciliation commission shall examine the draft of the submitted opinion within a period not exceeding five calendar days from the date of submission for its completeness and the quality of the evidence provided therein on the facts of violation of the legislation of the Republic of Kazakhstan in the field of protection of competition, inviting the persons involved in the investigation to the meeting.

Following consideration of the draft conclusion, the conciliation commission shall issue its comments and recommendations, recorded in minutes and be forwarded to the official(s) for their work within five working days of the meeting of the conciliation commission.

In the event of disagreement with the comments and recommendations of the conciliation commission, within five working days, the official(s) shall form a reasoned opinion to be considered by the conciliation commission within no more than five working days of the formation of the reasoned opinion by the official(s).

3. The completion of the investigation shall be the day when the official (s) of the anti-monopoly body signs the conclusion on the nvestigation results of violations of the legislation of the Republic of Kazakhstan in the field of competition protection.

4. The approval of the conclusion on the investigation results of violations of the legislation of the Republic of Kazakhstan in the field of protection of competition is issued by the order of the anti-monopoly body within ten working days from the day of completion of the investigation.

5. The copy of the order on approval of the conclusion on the investigation results, no later than three working days from the date of its signing, shall be served or sent by letter informing the investigation object, with the attachment of the conclusion on the investigation results. The applicant shall be informed on the decision at the same time.

5-1. In the event that, based on the results of the investigation, a decision is made to initiate an administrative offense case, the order to approve the conclusion based on the results of the investigation shall come into force upon expiry of ten working days from the date of its adoption.

The appeal of the order on approval of the conclusion based on the results of the investigation shall suspend the period of its entry into force pending consideration of the complaint.

6. The date of entry into force of the order to approve the conclusion based on the results of the investigation (decision-making) shall be considered the moment when the fact of an administrative offense is discovered.

7. The order to approve the conclusion based on the results of investigation may be appealed to the court in the manner prescribed by the Administrative Procedural Code of the Republic of Kazakhstan by the object of investigation.

Footnote. Article 224 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI (shall be enforced from January 1, 2017); No. 268-VI dated October 28, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); dated 29.06.2020 No. 351-VI (shall be enforced from 01.07.2021); No. 101-VII of 03.01.2022 (shall be put into force sixty calendar days after the date of its first official publication).

Chapter 21. RESTRAINT OF BREACH OF LEGISLATION OF THE REPUBLIC OF KAZAKHSTAN ON PROTECTION OF COMPETITION AND REVISION OF ORDERS ISSUED BY THE ANTI-MONOPOLY AUTHORITY

Article 225. The grounds and method for determining the monopoly income

1. Income gained by the market entity as a result of monopolistic activities restricted by this Code is a monopoly income.

2. A monopoly income can be gained by the market entity as a result of:

1) execution of anti-competitive agreement or coordinated actions of market entities;

2) abuse by the market entity of own dominant or monopolistic position.

3. A monopoly income is determined from the date of carrying out by the market entity of actions specified in Clause 2 hereof, up to the date of cease by the market entity of indicated actions.

4 A monopoly income is determined when:

1) the market entity, taking a dominant or monopolistic position, establishes the monopolistically high prices - as a difference between the income gained when applying monopolistically high price and income calculated on the basis of a price determined in accordance with the provisions of Article 175 hereof;

2) the market entity, taking a dominant or monopolistic position, establishes the exclusively low price- as additional income received by the market entity taking a dominant position, as a result of turnover increase by means of competitors elimination from the product market;

3) fixing by the market entity taking a monopsony position of monopolistically low price- as a difference between the expenses of this market entity for purchase of goods at the price determined on the basis of required to the market entity selling the goods, production expenses and sale of such goods and incomes, and expenses formed during purchase of goods at monopolistically low prices;

4) the market entity enters into anti-competitive agreement or coordinated actions - as total income gained from these actions, after deduction of reasonable expenses required for production and (or) sale of goods, and actually paid taxes.

5. The withdrawal of monopoly income is performed according to the procedure established by the Administrative Violations Code of the Republic of Kazakhstan.

Article 226. Anti-monopoly response measures

1. In accordance with established powers the anti-monopoly authority is entitled to:

1) give binding orders to the market entities concerning:

elimination of violation of this Code norms and (or) mitigation of its consequences;

recovery of initial position;

cancellation or altering of contracts contradicting this Code;

necessity for cancellation of transactions by cancelling or annulment during regulation of market concentration;

2) give to state, local executive bodies, organizations charged by the government with functions of market entities activities regulation, binding orders concerning cancellation or altering of acts accepted by them, remedy of defaults and instructions, cancellation or alteration of agreements and transactions settled by them, which contradict this Code, and commission of actions aimed at provision of competition;

3) examine cases of administrative offences in the area of protection of competition and restriction of monopoly activities according to the procedure established by the Administrative Violations Code of the Republic of Kazakhstan;

4) bring before a court lawsuits and petitions, and take part in consideration by the court of cases related to application and violation of legislation of the Republic of Kazakhstan in the area of protection of competition.

2. In the violation of this Code standards, the market entities, government bodies, local executive bodies shall:

1) in accordance with orders of anti-monopoly authority to discontinue violation and eliminate its consequences, recover the original position, cancel the contract, conclude a contract with market entity or make an amendment thereto, annul the act which is recognized by the anti-monopoly authority as inconsistent with legislation of the Republic of Kazakhstan on protection of competition, perform other actions stipulated by the order;

2) compensate for incurred losses in accordance with the civil legislation of the Republic of Kazakhstan;

3) execute the decree of the anti-monopoly authority concerning imposition of administrative penalty in accordance with procedure established by the Administrative Violations Code of the Republic of Kazakhstan.

3. The order shall be executed within the reasonable time limits established by the anti-monopoly authority.

The anti-monopoly authority performs a control over execution of issued orders.

In case of failure to execute the orders, the anti-monopoly authority has a right to go to court with a lawsuit for concussion of market entity, government body, local executive body to execute the order of anti-monopoly authority.

Footnote. Article 226 as amended by the Republic of Kazakhstan laws dated 28.12.2016 No. 34-VI (brought into force since 01.01.2017); dated 24.05.2018 No. 156-VI (brought into force upon the expiry of ten calendar days after its first official publication).

Article 227. Requirements to execution of an order

The order is executed on a controlled form of anti-monopoly authority and shall contain:

1) name of market entity and (or) government body, and (or) local executive body, in relation to whom the order is issued, and their officials;

2) description of established fact of violation of legislation of the Republic of Kazakhstan in the area of protection of competition, and statute of the law which have been infringed by the market entity or government body or local executive body, or its officials;

3) actions which shall be taken by the market entity and (or) government body, and (or) local executive body or its officials for elimination of violation of the Republic of Kazakhstan legislation in the area of protection of competition (or from commission of which it shall abstain);

4) time limit for execution of an order;

5) period for submission of information on order execution;

6) signature of a person authorized to sign an order;

7) official seal of anti-monopoly authority.

Article 228. Revision of orders issued by the anti-monopoly authority

1. The anti-monopoly authority on own initiative or upon the application of a person concerned may revise an order (own or from a regional division) in cases:

1) if the significant circumstances have been not and could not be known to the anti-monopoly authority, that has resulted in issue of illegal or groundless order;

2) if an order was issued on the basis of unreliable information that has resulted in issue of illegal or groundless order;

3) if an order was issued with violation of the statues of the laws of the Republic of Kazakhstan;

4) correction of mistake made in the order or obvious arithmetic error.

The anti-monopoly authority may suspend the execution of its order until completion of its revision, whereof the persons involved in the case are notified in written.

2. According to results of revision, the anti-monopoly authority may:

1) leave the order unchanged;

2) alter the order;

3) repeal the order;

4) issue the new order.

3. During the revision of an order upon the application of a person concerned, the anti-monopoly authority is not eligible to worsen the position of a person who has filed an application (complaint), or a person in whose interests it has been filed.

Footnote. Article 228 as amended by the RK Law dated 28.12.2016 No. 34-VI (shall be enforced since 01.01.2017).

Article 229. Check of orders of the anti-monopoly authority regional divisions

Footnote. Heading of Article 229 as amended by the RK Law dated 28.12.2016 No. 34-VI (shall be enforced since 01.01.2017).

The orders issued by the regional divisions of anti-monopoly authority may be checked upon the applications of market entities or on the initiative of superior anti-monopoly authority.

Footnote. Article 229 as amended by the Republic of Kazakhstan Law dated 28.12.2016No. 34-VI(shall be enforced since 01.01.2017).

Article 230. Appeal of anti-monopoly authority orders

1. The orders of anti-monopoly authority may be appealed in the court according to the procedure established by legislation of the Republic of Kazakhstan.

2. The grounds for appealing to the anti-monopoly authority of regional divisions orders include:

1) failure to identify all circumstances which are relevant to the case;

2) lack of evidentiary support of circumstances which are relevant to the case and recognized as ascertained;

3) non-compliance of conclusions stated in the judgment with circumstances of the case;

4) violation or improper application of statutory regulations of the Republic of Kazakhstan.

3. The order of a territorial subdivision of the antimonopoly body may be appealed by the market entity within three months from the date when it was handed over to the market entity, in the manner prescribed by the laws of the Republic of Kazakhstan.

Footnote. Article 230 as amended by the Republic of Kazakhstan Law dated 28.12.2016 No. 34-VI (brought into force since 01.01.2017); dated 29.06.2020 No. 351-VI (shall be enforced from 01.07.2021).

Article 231. Compulsory division or withdrawal in cases of abuse of dominant or monopoly position

1. In case if the market entity taking dominant or monopoly position, twice during one calendar year was held administratively liable for violations stipulated by Article 174 hereof, and keeps to commit actions restraining the competition, the anti-monopoly authority for the purpose of promotion of competition may file a claim in court for compulsory division of this market entity or withdrawal of one or more of irs legal entities on the basis of its structural subdivisions.

2. The court makes a decision concerning compulsory split-off or demerger aimed at promotion of competition, if the following conditions are met in the aggregate:

1) no technologically driven interrelation of structural subdivisions;

2) there is an opportunity of independent activities at the relevant commodity market for legal entities established as a result of restructuring.

3. The court judgment concerning compulsory split-off or demerger shall be executed by the owner or agency authorized by him with due account for requirements provided by specified judgement, and within the time limits determined by specified judgement, and cannot be more than six months.

Footnote. Article 231 as amended by the Republic of Kazakhstan Law dated 28.12.2016 No. 34-VI (brought into force since 01.01.2017).

SECTION 5. PRIMARY AREAS AND TYPES OF GOVERNMENT SUPPORT FOR PRIVATE ENTREPRENEURSHIP Chapter 22. GOVERNMENT SUPPORT OF SMALL AND MEDIUM ENTREPRENEURSHIP

Article 232. Types of government support of small and medium entrepreneurship

The government support of small and medium entrepreneurship is performed by types of government support of private entrepreneurship stipulated by Article 93 hereof, including:

arrangement of conditions for use by small and medium entrepreneurship entities of state financial, material and technical and information resources as well as research and development work and technology;

establishment of simplified procedure of state registration and liquidation;

establishment of optimum tax treatment;

adoption of lending program for small and medium entrepreneurship;

establishment of system for attraction and use of investments, including foreign ones, for support and development of small and medium-sized entrepreneurship;

assistance in foreign trade activities of small and medium entrepreneurship entities;

consulting of small and medium entrepreneurship entities concerning engagement in public purchases of goods, works and services;

organization of training, retraining and further training of personnel by development of existing and establishment of new training and research centers, consulting organizations and information systems for support and development of small and medium entrepreneurship, and implementation of international programs and projects for sharing experience in the area of small and medium-sized entrepreneurship.

Footnote. Article 232 as amended by the Law of the Republic of Kazakhstan No. 202-VI dated 26.12.2018 (shall be enforced from 01.01.2019).

Article 232-1. State support for social entrepreneurship

State support for social entrepreneurship, in addition to the measures of state support for private entrepreneurship provided for by Article 93 of this Code, and the measures of state support for small and medium-sized entrepreneurship provided for by Article 232 of this Code shall be carried out in the form of:

1) ensuring the availability of infrastructure to support social entrepreneurship entities;

2) provision of tax benefits in accordance with the Code of the Republic of Kazakhstan "On Taxes and Other Obligatory Payments to the Budget" (Tax Code);

3) providing financial support to social entrepreneurship entities (including within the framework of subsidizing the interest rate on loans issued by second-tier banks and for paying for property rent (lease) of property);

4) provision of property lease (rent) of state property without the right to redeem on preferential terms in accordance with the Law of the Republic of Kazakhstan "On State Property";

5) providing information support to social entrepreneurship entities;

6) providing consulting and methodological support to social entrepreneurship entities, development through acceleration programs (including on the issues of raising funds, participation in the procurement of goods, works, services).

For the purposes of this Code, acceleration programs mean programs for the intensive development and promotion of social entrepreneurship through training and expert support;

7) assistance in the development of interregional cooperation, in the search for business partners (including through holding business events, as well as ensuring the participation of social entrepreneurship entities in these events);

8) organizations of vocational education and additional training;

9) provision of state grants for the organization and implementation of socially significant projects in the sectors of economy.

Footnote. Chapter 20 is supplemented by Article 232-1 in accordance with the Law of the Republic of Kazakhstan dated 24.06.2021 No. 52-VII (shall be enforced from 01.01.2022).

Article 233. Business incubators

1. The business incubator is a legal entity established for support of small business enterprises at the stage of its establishment by provision of production facilities, equipment, organization, legal, financial, consulting and information services.

2. The business incubators are established for rendering of assistance in start-up and development of small business enterprises.

The tasks of business incubators are:

1) selection of small business enterprises for placement in business incubator;

2) provision to small business entities the educational, marketing, consulting and other organizational and management services;

3) state support for innovation activities of small businesses.

Footnote. Article 233 as amended by Law of the RK No. 87-VII of 27.12.2021 (shall be effective upon expiry of ten calendar days after its first official publication).

Article 234. Property support of small and medium-sized enterprises

1. The government property facilities not used for more than one year may be transferred to the small and medium entrepreneurship entities in trust or lease for organization of production operation and service industry except for trade mediation activities.

The supervision over fulfillment by small and medium-sized enterprises of terms and conditions of lease agreement or trust management contract is performed by relevant government agencies authorized for disposition of republican and communal property.

2. The state ownership facilities and land parcels occupied thereby, which are transferred in trust or lease for organization of production operation and development of service industry for population may be donated to small and medium-sized entrepreneurship entities,other than entities performing the trade mediation activities, upon the expiry of one year from the date of contract execution in case of fulfillment of conditions provided for thereby according to the procedure determined by central authorized body for state planning.

Chapter 23. STATE SUPPORT OF AGRICULTURAL SECTOR AND NON-AGRICULTURAL TYPES OF ENTREPRENEURSHIP ACTIVITIES IN RURAL LOCALITIES

Article 235. State support of agricultural sector development

1. The state support of private entrepreneurship entities carrying out the agricultural activities is performed by:

1) development of lending in the area of agricultural complex and rural regions;

2) subsidization of agricultural complex;

3) procurement of agricultural products at a guaranteed purchasing price;

4) technical fit-out of agricultural complex;

5) information and marketing collateral of agricultural complex;

6) scientific, standard and methodological support and personnel training for agricultural complex;

7) investments to development of social and engineering infrastructure of rural regions;

8) application of financial instruments supporting conditions for modernization of fixed production-related assets- farming machinery park, process equipment, and livestock inventory;

9) creation of necessary conditions for investment attraction to agriculture;

10) support of products export;

11) development of sectoral science and spread of agricultural and technological knowledge;

12) provision of other forms of state support.

2. The state support of private entrepreneurship entities carrying out the agricultural activities and non-agricultural types of entrepreneurial activities in rural regions is performed on republican and regional levels and shall be governed according to the laws of the Republic of Kazakhstan.

3. The time limits, scope and measures of state support for private entrepreneurship carrying out the agricultural activities are established in accordance with the laws of the Republic of Kazakhstan.

Article 236. Crediting in the area of agricultural complex and rural regions

1. The crediting in the area of agricultural complex and rural regions is performed by budgetary crediting in accordance with budget legislation of the Republic of Kazakhstan or participation in forming or increase of charter capital of specialized organizations.

2. The crediting in the area of agricultural complex and rural regions is performed across the following areas with due account for provisions provided by the Republic of Kazakhstan Law "On government regulation of development of agricultural complex and rural regions":

1) establishment and development of farm production infrastructure;

2) leasing of farm machinery and processing facilities, equipment and fishing gear for fishing industry;

3) organization and crediting of credit societies performing crediting in agricultural complex;

4) crediting of non-agricultural types of entrepreneurial activities in rural regions;

5) purchase, production, processing and sale of agricultural products;

6) fish-rearing and processing of fish products;

7) arrangement of microlending for rural population.

Article 237. Subsidization of agricultural complex

1. The subsidization of agricultural complex is performed as an economic incentive of agro-based industries development under the following conditions:

1) economic efficiency of subsidization focused on development of agricultural complex areas;

2) improvement of quality and competitive ability of outputs.

2. The subsidization of agricultural complex is performed across the areas provided by the Republic of Kazakhstan Law "On government regulation of development of agricultural complex and rural regions", according to the procedure determined by authorized body in agricultural complex development.

Article 238. Implementation of price stabilization mechanisms for socially important food products

1. In order to stabilize the market for food products, the state shall implement the price stabilization mechanisms for socially important food products.

2. The price stabilization mechanisms for socially important food products shall be implemented in accordance with the rules of implementation the price stabilization mechanisms for socially important food products.

3. The list of specialized organizations implementing the price stabilization mechanisms for socially important food products shall be approved by the Government of the Republic of Kazakhstan.

Footnote. Article 238 is in the wording of the Law of the Republic of Kazakhstan No. 241-VI dated 02.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication).

Article 239. Information support of agricultural complex

1. Information and marketing collateral of agricultural complex is performed by means of:

1) organization of information and marketing system of agricultural complex;

2) publication of information materials in mass media and printing of specialized collections, magazines, industry publications;

3) assistance in creation and development of up-to-date information and communication technology and information systems;

4) organization of exhibition fairs and provision of advertising support of products of domestic agricultural goods producers;

5) organization of training workshops;

6) scientific, standard and methodological support and personnel training for agricultural complex;

7) development of agricultural science and spread of scientific research results to production activities.

2. The list of information and services operator to submission to the agricultural complex entities free of charge by specialized organizations is determined by authorized body in the area of agricultural complex development.

Article 240. State support for insurance in the agricultural sector

State support for insurance in the agro-industrial complex shall be carried out in the manner established by the Law of the Republic of Kazakhstan "On State Regulation of the Development of the Agro-Industrial Complex and Rural Areas."

Footnote. Article 240 as amended by Law of the Republic of Kazakhstan No. 268-VI dated 28.10.2019 (shall be enforced since 06.01.2020).

Article 241. The state support of peasant farms and farming enterprises

1. The state promotes the development and protection of domestic peasant or farming market.

2. The peasant or farming enterprises with average annual number of employees not greater than fifty persons and yearly average gross assets value not greater than sixty thousand-fold calculated rate:

The procedure of Subclause 1) enforcement see Clause 14 Article 324 of the RK Code dated 29.10.2015 No. 375-V.

1) in the manner and on the terms provided for by legislation of the Republic of Kazakhstan, excused from payment for connected power in electrical energy, heat-, water supply and sewerage using the laws of the Republic of Kazakhstan concerning natural monopolies;

2) open the accounts with partially state-owned second-tier banks, without charge;

3) keep accounting records and prepare the financial statements using the simplified procedure;

4) is excluded by Law of the Republic of Kazakhstan No. 268-VI dated 28.10.2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication);

5) obtain the information services (funds) and development projects and technology on a preferential basis within the limits of funds allocated in the state budget for relevant year within the state financial support of small business;

6) perform the training, retraining and further training of personnel using the funds provided for support of small business.

3. The peasant and farming enterprises have a right to apply the simplified or generally established procedure for calculation and payment of certain types of taxes in accordance with the Republic of Kazakhstan Code "On taxes and other compulsory payments to budget" (Tax Code).

4. The legal entities of the Republic of Kazakhstan investing to agriculture and not using the special tax regime may be provided with investment preferences in the manner and on the terms stipulated by this Code.

Footnote. Article 241 as amended by Law of the Republic of Kazakhstan No. 268-VI dated 28.10.2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication).

Chapter 23-1. State support for innovation

Footnote. The Law as supplemented by Chapter 23-1 pursuant to Law of the RK No. 87-VII of 27.12.2021 (shall be enacted upon expiry of ten calendar days after the date of its first official publication).

Article 241-1. Definition and content of innovation activities

1. Innovation activities shall refer to the activities (including intellectual, creative, scientific, scientific-technical, technological, industrial-innovation, info-communication, organisational, financial and/or commercial activities) aimed at creating innovations.

Innovative activities shall involve a high entrepreneurial risk, characterised by uncertainty in the market outlook for innovative activities and possible losses of invested financial and other resources.

2. An innovation project shall refer to a set of activities implemented over a specified period of time as part of an innovation activity and aimed at creating and/or introducing a new or improved product or process and bringing it to the consumer.

3. An innovation shall mean a new or improved result of innovation in the form of a product (good, work or service) made available to potential users, or a process commissioned, that provides a competitive and comparative advantage over previous products or processes.

4. The innovation actors shall include natural persons, legal entities and simple partnerships that implement innovative projects.

5. The target of innovation activities shall include all kinds of innovations that can be embodied in goods, works, services, processes and technologies so that they can be considered as new or advanced.

Article 241-2. Goal, objectives and basis of state support for innovation activities

1. The goal of state support for innovation activities shall be to create an environment conducive to the introduction of a new or significantly improved product (good, work or service), technology or process, a new marketing method or a new organisational method in business practices, organisation of jobs or external relations so as to increase the competitiveness of the national economy.

2. The objectives of state support for innovation activities shall include:

1) creating an environment conducive to identifying, nurturing, attracting and retaining talent and the professional development of scientific, engineering and entrepreneurial personnel;

2) creating an environment conducive to the technological modernisation of the basic sectors of the national economy and its diversification by developing high-tech industries, increasing the technological sophistication of the economy and making the economy and society more receptive to innovation;

3) support for innovation activities, efficient innovation implementation, development of high-tech industries, corporate innovation and technology transfer;

4) creating conditions for the development of start-up infrastructure and a culture of venture capital investment;

5) fostering demand for innovation;

6) assisting innovation actors in commercialising technologies, the results of scientific and (or) scientific-technical activities, and creating an environment for the development of knowledge-intensive businesses;

7) assisting innovation actors in international cooperation in the field of innovation, including cooperation in the training of highly qualified personnel for innovation activities;

8) assisting innovation actors in improving productivity and developing innovation clusters;

9) creating an enabling environment for the implementation of state technology policy.

3. State support for innovation shall be based on:

1) ensuring equal access for innovation actors to receive state support in conformity with this Code;

2) publicity, targeting and transparency of state support measures for innovation;

3) balancing the interests of the state and the innovation actors;

4) optimising public support measures for the successful implementation of innovation projects by innovation actors with due regard to their individual characteristics;

5) comprehensiveness and consistency, ensuring continuous interaction between the state and innovation actors;

6) providing state support throughout the innovation lifecycle by establishing an efficient science, technology and innovation communication system.

Article 241-3. Innovation system actors involved in public support for innovation activities

1. Innovation system actors involved in state support for innovation activities shall include the national innovation development institute and other legal entities, where fifty percent or more of the voting shares (stakes in the charter capital) are directly or indirectly owned by the state, authorised to implement measures of state support for innovation activities.

2. Innovation system actors involved in public support for innovation activities shall:

1) offer methodological and advisory support for technology foresight, enforcement of state technology policy and development of innovation infrastructure;

2) render information, analytical and advisory services in the field of innovation development;

3) invest in innovation projects by participating in charter capitals of entities involved in innovation activities, creating legal entities with foreign participation, creating or participating in investment and venture capital funds and in other ways envisaged by the legislation of the Republic of Kazakhstan;

4) engage in the creation, management and coordination of technology platforms, technology commercialisation centres, technology parks, business incubators, accelerators, international technology transfer centres, joint ventures in the form of technology development centres;

5) collaborate with international organisations to attract information, education and financial resources to foster technological development in priority sectors of the economy;

6) ensure availability of information on ongoing innovation projects, implemented technologies, results of analyses on technology foresight;

7) engage in the implementation of state support mechanisms for business incubation, start-up acceleration, technology commercialisation and technology transfer, and strengthening the human, managerial and production potential of innovation actors;

8) issue expert opinions and/or recommendations to public authorities on innovative activities;

9) serve the authority responsible for state support for innovation activities in providing innovation grants;

10) render services to the competent authority in the area of state support for innovation activities for the realisation of state technology policy;

11) facilitate the development of risk investment funds, venture capital funds and venture financing;

12) offer acceleration services, business incubation services to innovation actors to undertake marketing and other activities, and search for potential investors;

13) participate in advocacy for innovation, including by organising competitions for innovators, rationalisers and inventors;

14) may provide services to charitable organizations, endowment funds for examination, monitoring of innovative projects.

Footnote. Article 241-3 as amended by the Law of the Republic of Kazakhstan dated 14.07.2022 No. 141-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 241-4. State technology policy

1. State technology policy constitutes a system of economic, organisational and legal measures implemented by the state and/or innovation actors aimed at identifying technology priorities, developing infrastructure and competencies for their implementation, including the establishment of technology platforms, sectoral centres of technological competencies, realisation of targeted technology programmes, with the aim of increasing the level of technological development of the national economy, its sectors and private actors.

2. The Technological Policy Council, an advisory and consultative body headed by the Prime Minister of the Republic of Kazakhstan, shall operate to formulate and implement state technology policy.

The main objectives of the Technology Policy Board shall be:

1) identifying priorities for technological development and the main directions of state technological policy;

2) making recommendations to public authorities on the country's innovative and technological development;

3) harmonising proposals for improving the innovation system and the activities of the innovation system actors involved in public support for innovation activities;

4) reviewing the state's emerging technology policy in sectoral areas;

5) considering initiatives by public authorities to identify sectoral technology competence centres, target technology programmes and the organisation of sectoral technology platforms.

Article 241-5. Instruments of the state technology policy formation and implementation

1. Technology platforms shall be established for the formation and implementation of state technology policy.

The technological platform shall constitute a complex consisting of interrelated and complementary elements of educational, scientific and industrial-innovation infrastructure, actors of scientific, scientific-technical, innovation and industrial activity, necessary to ensure a continuous process of generation and improvement of technologies, training of personnel, implementation of innovation projects.

The technological platform shall serve also as a tool for communication and market-oriented coordination of private businesses, scientific organizations, educational organizations, government agencies, organizations of the quasi-public sector for the technological development of sectors of the economy.

2. For the purpose of development of the state technological policy of the respective industry or technological direction and to ensure its continuity, the public authorities shall designate industry centers of technological competence.

The key objectives of industry technology competence centers shall include monitoring global technology trends, identifying current conditions and competitive advantages for accelerated technological development, as well as the needs and concerns of private businesses.

Further criteria for sectoral centers of technological competence shall be identified as per the methodology and criteria for technological forecasting, functioning of sectoral centers of technological competence, organization of technological platforms and development of target technological programs.

3. Technology foresight shall serve to formulate technology policy.

Technology foresight shall refer to a complex of analytical studies aimed at revealing the key (priority) technologies, the development thereof is a prerequisite for sustainable innovative development of the state.

Technology foresight shall involve industry centers of technological competence in the respective industries in collaboration with technology platforms by attracting foreign and domestic experts, conducting surveys and analytical studies, summarizing the data obtained and the formation of recommendations.

The results of technology foresight shall be accounted for in the formation of state technology policy and the prioritization of innovative grants.

4. Targeted technological programs shall be elaborated and adopted to implement the technological policy.

The target technology program shall mean a range of measures to develop key (priority) technologies and solve technological problems of the industry, based on the interaction of the state, business and science.

Targeted technological programs shall be developed by participants of technological platforms.

Innovative projects realized as part of targeted technological programs shall have priority in the awarding of innovation grants and other measures of state support of innovative activities.

5. Technology foresight and development of target technology programs shall be implemented as per the methodology and criteria of technology foresight, functioning of industry technology competence centers, organization of technology platforms and development of target technology programs.

Article 241-6. Instruments for stimulating innovation activity and innovation system analysis

1. The instruments for stimulating innovative activity include outreach support for innovation and the dissemination of knowledge, including by commercializing technology.

Promotion (support) of commercialization of technologies shall be performed by:

1) organizing and/or conducting events aimed at the formation and development of competencies in the field of technological business;

2) forming and developing a system of searching for technologies, their identification and assistance in their promotion in the market;

3) by other means prescribed by the laws of the Republic of Kazakhstan.

2. The instrument for the analysis of the innovation system shall be an assessment of the efficiency of implementation of measures of state support for innovation activities undertaken by state agencies, local executive bodies, the national development institute in the field of innovation development and other legal entities empowered to implement measures of state support for innovation activities, implementation of technology policies and target technology programs.

Independent analysis of the efficiency of the innovation system with the development of recommendations shall be performed by the innovation observatory established by the Government of the Republic of Kazakhstan.

Methodology for evaluation of efficiency of realization of state support measures of innovative activity shall be adopted by the competent authority in the field of state support of innovative activity.

Evaluation of the efficiency of measures of state support to innovation activities to provide innovation grants shall consider such features of innovation activities as high entrepreneurial risk, characterized by uncertainty of market prospects for innovation activities and possible losses of invested financial, and other resources.

Article 241-7. Measures of state support of innovative activity

1. This Code shall stipulate the measures of state support for innovation activities, with account of the specifics defined by the laws of the Republic of Kazakhstan.

2. The measures of state support for innovation activities shall include:

1) co-financing of venture capital funds;

2) providing innovative grants.

3. The state support of innovative activity shall be specified under this Code, the Law of the Republic of Kazakhstan “On Industrial Policy” and other legislation of the Republic of Kazakhstan.

Article 241-8. Co-financing of venture capital funds and private venture capital investors

1. Venture funds and private venture investors shall be co-financed by the innovation system actors involved in the state support of innovation activities.

2. Venture capital financing shall mean activities related to the financing of persons engaged only in innovative activities by investing in their charter capitals, purchasing financial instruments issued by them or providing them with cash loans.

3. A private venture investor shall refer to a natural person who provides venture capital financing to startup companies and who provides them with expert support if they so desire.

Article 241-9. Provision of innovation grants

1. Innovation grant shall mean budgetary funds provided to innovation entities on a non-repayable basis for the implementation of their innovation projects as part of the priority areas of innovation grants.

Innovation grants shall be provided by the competent authority for state support of innovation activities with the involvement of the national institute for development in the field of innovation development.

Competition for innovative grants may be held in selected priority areas in conjunction with the infrastructure to support private enterprise and (or) the innovation system actors involved in the state support of innovative activity.

2. Innovation grants shall be awarded to innovation activity actors by co-financing the implementation of innovation projects.

3. Innovation grants shall be awarded for:

1) technology commercialization;

2) technology development of existing enterprises;

3) technology development in the industries.

4. When innovative grants are awarded, an expertise shall be performed under the rules for the awarding of innovative grants.

The rules for awarding innovation grants shall establish the criteria for awarding innovation grants.

5. The National Institute for Innovative Development shall monitor innovation grants awarded to analyze the achievement of the planned objectives for innovation projects that have received innovation grants.

6. The National Institute of Development in the field of innovative development shall open a current account in a second-tier bank - a resident of the Republic of Kazakhstan for the management of funds allocated for the provision of innovative grants under an agreement concluded between the competent authority for state support of innovative activity and the National Institute of Development in the field of innovative development.

The balances in the current account at the end of the fiscal year shall not be returned to the competent authority in the field of state support for innovation and, consequently, to the state budget, but shall be allocated for innovative grants in the next fiscal year. The total amount of money for innovation grants shall be allocated to all innovation grants.

Chapter 24. State incentives for industry

Footnote. The title of chapter 24 - as reworded by Law of the RK No. 87-VII of December 27, 2021 (shall be enacted ten calendar days after the date of its first official publication).

Paragraph 1. Industrial and innovative activities

Footnote. Paragraph 1 is excluded by Law of the RK No. 87-VII of 27.12.2021 (shall come into force ten calendar days after the date of its first official publication).

Paragraph 2. Industrial and innovative system of the Republic of Kazakhstan

Article 245. Goal of development of industrial and innovative system of the Republic of Kazakhstan

Footnote. Article 245 is excluded by Law of the RK No. 87-VII of December 27, 2021 (shall enter into force ten calendar days after the date of its first official publication).

Article 246. Operators of industrial and innovative system involved in state support of industrial and innovative activities

Footnote. Article 246 is excluded by Law of the RK No. 87-VII of December 27, 2021 (shall be put into effect ten calendar days after the date of its first official publication).

Article 247. Industrial Innovation Structure

Footnote. Article 247 is excluded by Law of the RK No. 87-VII of December 27, 2021 (shall take effect ten calendar days after the date of its first official publication).

Article 248. Special Economic Zones

Footnote. Article 248 is excluded by Law of the RK No. 87-VII of December 27, 2021 (shall become effective ten calendar days after the date of its first official publication).

Article 249. Industrial zones

Footnote. Article 249 is excluded by Law of the RK No. 87-VII of December 27, 2021 (shall become effective ten calendar days after the date of its first official publication).

Article 250. Technology park

Footnote. Article 250 is excluded by Law of the RK No. 87-VII of 27.12.2021 (shall enter into force on 01.07.2022).

Article 251. Joint-Stock Investment Funds

Footnote. Article 251 is excluded by Law of the RK No. 87-VII of December 27, 2021 (shall be put into effect ten calendar days after the date of its first official publication).

Article 251-1. Venture funds, private venture investors and venture financing

Footnote. Article 251-1 is excluded by Law of the RK No. 87-VII of December 27, 2021 (shall be brought into effect ten calendar days after the date of its first official publication).

Article 252. Technology Commercialization Center

Footnote. Article 252 is excluded by Law No. 87-VII of the RK dated December 27, 2021 (shall take effect ten calendar days after the date of its first official publication).

Article 253. Construction design office

Footnote. Article 253 is excluded by Law No. 87-VII of the RK of December 27, 2021 (shall be enacted ten calendar days after the date of its first official publication).

Article 254. International Technology Transfer Centers

Footnote. Article 254 is excluded by Law of the RK No. 87-VII of December 27, 2021 (shall be put into effect ten calendar days after the date of its first official publication).

Article 255. Innovation Cluster

Footnote. Article 255 is excluded by Law of the RK No. 87-VII of December 27, 2021 (shall enter into force ten calendar days after the date of its first official publication).

Article 256. Instruments of industrial innovation system

Footnote. Article 256 is excluded by Law of the RK No. 87-VII of 27.12.2021 (shall come into force ten calendar days after the date of its first official publication).

Paragraph 3. State support of industrial innovation entities

Footnote. Paragraph 3 is excluded by Law of the RK No. 87-VII of 27.12.2021 (shall take effect ten calendar days after the date of its first official publication).

Article 272-1. State incentives for industry

1. The state incentives for industry shall be implemented under this Code and the Law of the Republic of Kazakhstan “On Industrial Policy”.

2. The Law of the Republic of Kazakhstan “On Industrial Policy” shall envisage the measures of state incentives for industry, mainly aimed at the development of manufacturing industry in the country, as well as the conditions for their provision.

Footnote. Chapter 24 as supplemented by Article 272-1 under Law No. 87-VII of the RK dated December 27, 2021 (shall be enacted ten calendar days after the date of its first official publication).

Article 272-2. Industrial policy

1. The state incentives for industry shall be implemented by providing measures of state incentives for industry in the implementation of industrial policy under the Law of the Republic of Kazakhstan “On Industrial Policy”.

2. Priorities and areas of industrial policy shall be identified by documents of the State Planning System in the Republic of Kazakhstan.

3. The Law of the Republic of Kazakhstan “On Industrial Policy” shall establish the goal, objectives and principles of industrial policy, procedures and mechanisms for its formation and implementation.

Footnote. Chapter 24 as supplemented by Article 272-2 under Law No. 87-VII of the RK dated December 27, 2021 (shall come into effect ten calendar days after the date of its first official publication).

Article 272-3. Areas of implementation of industrial policy

Industrial policy in the Republic of Kazakhstan shall be realized under the Law of the Republic of Kazakhstan “On Industrial Policy” in the following areas:

1) basic environment for industrial development;

2) market promotion;

3) increasing the efficiency and competitiveness of industry.

Footnote. Chapter 24 as supplemented by Article 272-3 under Law No. 87-VII of the RK dated December 27, 2021 ( shall put into effect ten calendar days after the date of its first official publication).

Article 272-4. Industrial and innovative activity

Footnote. Article 272-4 was valid until 01.07.2022 in accordance with the Law of the Republic of Kazakhstan dated 27.12.2021 No. 87-VII.

Chapter 25. STATE SUPPORT FOR INVESTMENT ACTIVITIES Paragraph 1. Legal regime of investments

Article 273. Investment relations

1. Regulation of relations, connected with investments in the Republic of Kazakhstan, and defining the legal and economic framework for investment promotion, guarantee of investors' rights protection when investing in the Republic of Kazakhstan, defining measures of state investments support, the disputes settlement with participation of investors is carried out in this Code.

2. This Code does not regulate relations related to:

implementation of investments from the state budget;

investing in non-profit organizations, including for educational, charitable, scientific or religious purposes.

3. The provisions of this Chapter shall be applied to the relations arising in the implementation of investments and related to the scope of other laws of the Republic of Kazakhstan in the part that does not contradict such laws.

4. The relations associated with the attraction of foreign labor by the investor under the concluded investment contract are regulated by the legislation of the Republic of Kazakhstan on migration of the population.

Footnote. Article 273 as amended by the Law of the Republic of Kazakhstan dated 20.04.2023 No. 226-VII (shall be enforced from 01.07.2023).

Article 274. Concepts of investment, investor, big investor and investment activities

1. Investments are all types of property (except goods intended for personal consumption), including financial leasing items since the conclusion of the lease agreement, as well as the rights to them, invested by the investor in the authorized capital of the legal entity or an increase in fixed assets used for entrepreneurial activities, as well as for the implementation of the public-private partnership project, including the concession project.

2. An investor means individuals and legal entities investing in the Republic of Kazakhstan.

3. The activities of individuals and legal entities to participate in the authorized capital of commercial organizations or to create or to increase fixed assets used for entrepreneurial activities, as well as for the implementation of the public-private partnership project, including the concession project, is recognized as investment activities.

4. Big investor is an individual or legal entity, making investments in the Republic of Kazakhstan in the amount of not less than two million of monthly calculation index.

Article 275. Investment entities

1. Investors have the right to invest in any entities and types of entrepreneurial activities, except as provided for by the laws of the Republic of Kazakhstan.

The rights and obligations of investors in respect of the entities and types of entrepreneurial activities, in which investments are made, shall be established by this Code, other laws of the Republic of Kazakhstan and relevant agreements.

2. The laws of the Republic of Kazakhstan, based on the need to ensure national security, may determine the types of activities and (or) territory in respect of which investment activities is limited or prohibited.

Article 276. Legal protection guarantee of investors' activities on the territory of the Republic of Kazakhstan

1. Investor shall be provided with full and unconditional protection of the rights and interests ensured by the Constitution of the Republic of Kazakhstan, this Code and other regulatory and legal acts of the Republic of Kazakhstan, as well as the treaties ratified by the Republic of Kazakhstan.

2. According to the civil legislation of the Republic of Kazakhstan, the Investor shall have the right for compensation for harm caused as a result of the issue by public authorities of the acts inconsistent with the laws of the Republic of Kazakhstan, and also illegal actions (omission to act) from the part of public authority officials.

3. The Republic of Kazakhstan guarantees the stability of the terms of contracts concluded between investors and state bodies of the Republic of Kazakhstan, except for the cases when amendments to the contracts are made by agreement of the parties.

These guaranties do not apply to:

1) amendments in the legislation of the Republic of Kazakhstan and (or) entry into force and (or) amendments in treaties of the Republic of Kazakhstan, by which the order and conditions of import, production, sale of excisable goods are amended;

2) amendments and additions to the laws of the Republic of Kazakhstan in order to ensure national security, public order, protection of health and morality of the population.

Article 277. Income guarantees

Investors have the right:

1) at its discretion, use the income received from its activities, after payment of taxes and other mandatory payments to the budget, in accordance with the legislation of the Republic of Kazakhstan;

2) open bank accounts in the national currency and (or) foreign currency in banks in the territory of the Republic of Kazakhstan in accordance with the banking and currency legislation of the Republic of Kazakhstan.

Article 278. Transparency of the activities of public authorities in relation to investors and ensuring investors' access to information related to the implementation of investment activities

1. Official reports of the state bodies of the Republic of Kazakhstan and regulatory legal acts affecting the interests of investors shall be published in the manner prescribed by the legislation of the Republic of Kazakhstan.

2. Investors, including investors, who have made investments in the amount of less than ten percent of the voting shares (less than ten percent of the votes of the total number of participants), are provided with free access to information on the registration of legal entities, their charters, registration of real estate transactions, issued licenses, as well as other information provided for by the laws of the Republic of Kazakhstan, which is related to the implementation of investment activities and does not contain commercial and other secrets protected by law.

Article 279. Guarantees of investors' rights during nationalization and requisition

1. Forcible withdrawal of the investor's property (nationalization, requisition) for state needs is allowed in exceptional cases provided for by the laws of the Republic of Kazakhstan.

2. In case of nationalization, the investor shall be compensated by the Republic of Kazakhstan in full for losses caused to him as a result of the publication of legislative acts of the Republic of Kazakhstan on nationalization.

3. Requisition of the investor's property is carried out with the payment of market value of the property.

Market value of the property is determined in accordance with the legislation of the Republic of Kazakhstan.

4. Evaluation, where the owner was reimbursed for the value of requisitioned property may be challenged by them in court.

5. Upon termination of the circumstances in connection with which the requisition was made, the investor has the right to demand the return of the remaining property, but is obliged to return the amount of compensation received by him, taking into account the losses from the reduction in the value of the property.

Article 280. Transfer of investor's rights to another person

If a foreign state or its authorized state body makes payments in favor of the investor under the guarantee (insurance contract), provided for to him in respect of investments made in the territory of the Republic of Kazakhstan, and to this foreign state or its authorized state body transfer the rights (requirements are assigned) of the investor to these investments, in the Republic of Kazakhstan such transfer of rights (assignment of claim) is recognized as lawful only in case of investments implementation by the investor in the Republic of Kazakhstan and (or) performance of certain contractual obligations by him.

Paragraph 2. State investment support

Article 281. Purpose of state investment support

1. The purpose of state investment support is to create a favorable investment climate for the development of the economy and to stimulate investment in the creation of new, expansion and renovation of existing industries with the use of modern technologies, Kazakhstan personnel development, as well as environmental protection.

2. The state support of investments shall include granting state preferences in the form of investment preferences and (or) providing guarantees of stability when changing the tax legislation of the Republic of Kazakhstan under the Code of the Republic of Kazakhstan “On Taxes and Other Obligatory Payments to the Budget” (the Tax Code).

The types, conditions and procedure for state preferences provision under agreements on the processing of solid minerals are determined by the Code of the Republic of Kazakhstan "On Subsoil and Subsoil Use".

Footnote. Article 281 as amended by the Law of the Republic of Kazakhstan dated December 27, 2017 No.126-VI (effective upon expiry of six months after its first official publication); No. 87-VII of 27.12.2021 (shall come into effect on 01.01.2022).

Article 282. Authorized investment authority:

1. State support for investments shall be carried out by the authorized investment body, determined by the Government of the Republic of Kazakhstan, for the conclusion of investment contracts and control over their execution, with the exception of special investment contracts.

2. Authorized body for investments within its competence and in order to perform its tasks has the right, in accordance with the procedure established by the Government of the Republic of Kazakhstan, to attract specialists of relevant state bodies, consultants and experts from among individuals and legal entities of the Republic of Kazakhstan.

3. The authorized investment agency coordinates and monitors the activities for support the investors by one-stop-shop principle for investors carried out by the national company for investment attraction and its regional representatives and representative offices, regional organizations for investment attraction.

4. Is excluded by the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication).
5. Is excluded by the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication).
6. Is excluded by the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication).

7. Authorized body for investments issues applications for obtaining an investor visa for persons who are non-residents of the Republic of Kazakhstan and carry out investment activities in the territory of the Republic of Kazakhstan in the manner determined by the authorized body for investments.

8. Authorized body for investments shall assist investors in securing a guaranteed order from interested legal entities in accordance with the investment contract concluded between an authorized investment body and an investor.

8-1. The authorized body for investments shall develop and approve the procedure for determining the project as an investment project for the provision of state-owned land plots.

The procedure provided by part one of this Paragraph shall, but not limited to, provide by a procedure for coordinating the provision of a land plot with the relevant regional coordination council.

9. Activities of the authorized body for investments is regulated by the regulations approved by the Government of the Republic of Kazakhstan.

Footnote. Article 282 as amended by the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); No. 272-VI dated November 25, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication); dated 30.06. 2021 No. 59-VII (shall be enforced from 01.01.2022).

Article 282-1. One-stop-shop principle for investors

1. By the One-stop-shop principle for investors shall be understood a centralized form of assistance to investors by a national company for attracting investments and its regional representatives and representative offices, regional organizations for attracting investments for public services, as well as other services provided by other organizations, minimizing the participation of investors in the collection and preparation of documents and restriction of their direct contact with state authorities.

2. The rules for organizing a "one window" for investors, as well as the procedure for interaction when attracting investments, are approved by the authorized investment body and determine the size of investments in specific sectors of the economy to receive services on the "one window" principle, as well as the procedure:

1) organization of support to the investor on one-stop-shop principle by a national company for attracting investments and its regional representatives and representative offices, regional organizations for attracting investments in order of implementing investment projects in the Republic of Kazakhstan;

2) coordination of the authorized investment agency with the national company for attracting investments and its regional representatives and representative offices, regional organizations for attracting investments on the issue of organizing support for investment projects to attract investments at central and regional levels;

3) coordination of the national company for attracting investments and its regional representatives and representative offices, regional organizations for attracting investments with foreign institutions, state authorities, local executive agencies, organizations, and other non-governmental organizations on issues of attracting investments;

4) monitoring the process of rendering state and other services provided by state authorities and other organizations for carrying out investment activity of investors, as well as monitoring support of investment projects for attracting investments.

The authorized investment agency, by a joint order with the state authorities responsible for the provision of state and other services, shall determine the responsible persons for coordination under the provision of these services to investors and accompanying them in the state authorities and other organizations.

3. The national company for attracting investments and its regional representatives and representative offices, regional organizations for attracting investments within one-stop-shop principle for investors shall have the right to petition central and local executive agencies, as well as other organizations, on consideration the investor application and enter investors documents to state authorities and other organizations in terms for state and other services.

Footnote. Chapter 25 is supplemented by Article 282-1 in accordance with the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); as amended by the Law of the Republic of Kazakhstan dated 19.04.2023 No. 223-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 282-2. A national company in the field of attracting investments and its regional representatives and representative offices

1. A national company in the field of attracting investments is determined by the decision of the Government of the Republic of Kazakhstan.

2. A national company in the field of attracting investments and its regional representatives and representative offices:

1) conducts analytical studies to improve the investment attractiveness of the Republic of Kazakhstan;

2) provides support for the activities of investors, including organizing meetings of investors with officials of state bodies, subjects of industrial and innovative activity, as well as associations of private entrepreneurs, conducts business forums, conferences and seminars on investment topics, forms and maintains a database of existing and prospective investors, assists investors in solving emerging questions;

3) promotes a favorable investment image of the Republic of Kazakhstan, including providing information about investment opportunities;

4) monitors the implementation of official agreements reached following negotiations with investors;

5) monitors industrial and innovative projects implemented with the participation of investors;

6) interacts with investors on the principle of "one window" in terms of supporting investors in obtaining public services, as well as other services provided by other organizations;

7) carries out work to attract investors to the production of industrial products, including according to the list of priority goods.

Footnote. Paragraph 2 is supplemented by Article 282-2 in accordance with the Law of the Republic of Kazakhstan dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 283. Concept and types of investment preferences

1. Investment preferences are targeted advantages, provided to legal entities of the Republic of Kazakhstan in accordance with the laws of the Republic of Kazakhstan, implementing investment project, and leasing companies, importing technological equipment within the framework of the investment project under financial leasing agreement for a legal entity of the Republic of Kazakhstan, implementing the investment project;

A legal entity of the Republic of Kazakhstan - a legal entity, including a legal entity with foreign participation, established in the manner state by the legislation of the Republic of Kazakhstan;

2. The following types of investment preferences are provided for the investment project (including investment priority project):

1) exemption from customs duties and value added tax on imports;

2) government grant-in-kind.

3. Tax preferences shall be provided for an investment priority project (hereinafter - investment preferences for an investment priority project).

4. Excluded by the Law of the Republic of Kazakhstan dated December 25, 2017 No. 122-VI (effective from January 1, 2018).

5. On a special investment project in the form of investment preferences (hereinafter – investment preferences for special investment project) is provided for exemption from taxation:

import customs duty;

taxes in accordance with the tax legislation of the Republic of Kazakhstan.

Footnote. Article 283 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI (effective from January 1, 2017); dated December 25, 2017 No. 122-VI(effective from January 1, 2018); dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 284. Investment project

Investment project is a set of activities involving investments in the creation of new, expansion and (or) renewal of existing production, including production, created, expanded and (or) updated during the implementation of the public-private partnership project, including the concession project.

Investment priority project is an investment project:

for the creation of new industries providing for the implementation by a legal entity of investments in the construction of new production facilities, in the amount of at least two million times the monthly calculation index established by the law on the republican budget and in force on the date of filing an application for the provision of investment preferences;

on expansion and (or) renewal of existing industries providing implementation by legal entity of investments in the amount of not less than five million of the monthly calculation index established by the Law on the Republican Budget and operating on the date of filing of the application for providing investment preferences in change of fixed assets, including updating (renovation, reconstruction, modernization) of the existing production capacities, producing products.

Investment priority project on creation of new productions or expansion and (or) updating of the operating productions is performed by legal entity on certain priority types of activities which list is approved by the Government of the Republic of Kazakhstan.

By a special investment project shall be understood an investment project implemented by legal entity of the Republic of Kazakhstan, registered as a participant of special economic area or owner of a free warehouse in accordance with the customs legislation of the Republic of Kazakhstan, and (or) acquired from a participant of special economic area or implemented by legal entity of the Republic of Kazakhstan, which concluded an agreement on industrial assembly of motor vehicles.

Footnote. Article 284 as amended by the Law of the Republic of Kazakhstan dated December 25, 2017 No. 122-VI (effective from January 1, 2018); as amended by the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); dated 30.04.2021 No. 34-VII (shall be enforced from 01.01.2022).

Article 285. Procedure of investment preferences obtainment

1. To obtain investment preferences, a legal entity of the Republic of Kazakhstan shall send to the authorized body for investments an application for the investment preferences provision and documents confirming the applicant's compliance with the requirements established by this Code in the form established by the authorized body for investments.

2. Investment preferences are provided on the basis of investment contract concluded between the authorized body for investments and the legal entity of the Republic of Kazakhstan implementing the investment project.

The Rules of investment preferences provision by the authorized body for investments on one stop-shop principle to investors, implementing an investment priority project, are approved by the Government of the Republic of Kazakhstan.

3. Excluded by the Law of the Republic of Kazakhstan dated December 25, 2017 No. 122-VI (effective from January 1, 2018).
Footnote. Article 285 as amended by the Law of the Republic of Kazakhstan dated December 25, 2017 No. 122-VI (effective from January 1, 2018).

Article 286. Conditions for investment preferences provision

1. Investment preferences are provided for:

1) on investment project, investment priority project-legal entity of the Republic of Kazakhstan;

2) under a special investment project - a legal entity of the Republic of Kazakhstan operating as a participant in a special economic zone or an owner of a free warehouse, manufacturers of vehicles and (or) their components, as well as agricultural machinery and (or) its components - if there is an appropriate agreement about industrial assembly;

3) for an investment project - a legal entity that has concluded an investment agreement.

2. Is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).
3. Excluded by the Law of the Republic of Kazakhstan dated December 25, 2017 No. 122-VI (effective from January 1, 2018).

4. Investment preferences shall be provided when a legal entity implements an investment project in accordance with subparagraph 1) of paragraph 1 of this Article for the types of activities included in the list of priority activities approved by the Government of the Republic of Kazakhstan.

Determination of priority types of activity shall be carried out in accordance with the general classifier of types of economic activity, approved by the authorized body in the field of technical regulation.

The list of priority activities determined for the implementation of investment priority projects shall not include the following types of activities:

1) activities in the field of gambling business;

2) activities in the field of subsoil use, with the exception of coal-bed methane extraction;

3) activities for the production of excisable goods, with the exception of production of petrochemical products, production, assembly (completing) of excisable goods, provided for in subparagraphs 5) and 6) of part one of Article 462 of the Code of the Republic of Kazakhstan "On Taxes and Other Obligatory Payments to the Budget" (Tax Code).

The list of priority types of activities, including the list of priority types of activities determined for the implementation of priority investment projects, may be reviewed no more than twice a year.

5. Investment preferences for the investment priority project are provided for if the following conditions are met:

1) the recipient is a legal entity of the Republic of Kazakhstan;

2) a legal entity shall make investments in the amount of at least two million times (for the creation of new industries) or five million times (for the expansion and (or) renewal of existing industries) the size of the monthly calculation index established by the law on the republican budget and valid on the date of filing an application for the provision of investment preferences.

When creating new objects of investment activity in the areas of food and light industry, the amount of investments of a legal entity is not less than a million times the monthly calculation index established by the law on the republican budget and valid on the date of filing an application for investment preferences;

When creating facilities that can satisfy the needs of a tourist in priority tourist areas, the amount of investments of a legal entity is at least two hundred thousand times the monthly calculation index established by the law on the republican budget and valid on the date of filing an application for investment preferences;

3) Is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

4) a legal entity is not:

an autonomous educational establishment in accordance with the tax legislation of the Republic of Kazakhstan and the legislation of the Republic of Kazakhstan on education;

an organization operating in the special economic area in accordance with the tax legislation of the Republic of Kazakhstan and the legislation of the Republic of Kazakhstan on special economic and industrial areas;

5) the share of the state and (or) a subject of the quasi-public sector - a legal entity of the Republic of Kazakhstan as a founder and (or) participant (shareholder) of a legal entity of the Republic of Kazakhstan does not exceed twenty-six percent, with the exception of a legal entity of the Republic of Kazakhstan in the engineering industry, including the production of a foundry products;

the share of the state and (or) a subject of the quasi-public sector - a legal entity of the Republic of Kazakhstan as a founder and (or) participant (shareholder) of a legal entity of the Republic of Kazakhstan in the engineering industry, including the production of foundry products, does not exceed fifty percent.

Participation of the state and (or) subject of the quasi-public sector - a legal entity of the Republic of Kazakhstan as a founder and (or) participant (shareholder) of a legal entity of the Republic of Kazakhstan is no more than five years from the date of registration of the investment contract, with the exception of priority investment projects in the engineering industry, including production of foundry products, where the participation of the state and (or) a subject of the quasi-public sector - a legal entity of the Republic of Kazakhstan as a founder and (or) participant (shareholder) of a legal entity of the Republic of Kazakhstan is not more than twenty years from the date of registration of the investment contract. Within five years, the state and (or) the subject of the quasi-public sector are obliged to withdraw from the founders and (or) participants (shareholders) of the legal entity of the Republic of Kazakhstan. If this condition is not met, the application of investment preferences shall be suspended until his (their) complete withdrawal from the founders and (or) participants (shareholders) of the legal entity of the Republic of Kazakhstan, but not more than one year.

Breach of condition of withdrawal from the founders and (or) participants (shareholders) of a legal entity of the Republic of Kazakhstan during the suspension period entails the early termination of the investment contract and the return of previously granted investment preferences.

The provisions of this subparagraph do not apply when a quasi-state sector entity in which the share of the state and (or) quasi-state sector entity as the founder and (or) participant (shareholder) of the legal entity of the Republic of Kazakhstan is less than fifty percent, operates within the framework of the implementation of the investment priority project for the extraction of coal bed methane;

6) Is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

7) investment activity is not carried out within the framework of a public-private partnership agreement, including public-private partnership agreement.

5-1. For the purposes of applying investment preferences for a special investment project in accordance with subparagraph 2) of paragraph 1 of this Article, a legal entity of the Republic of Kazakhstan must meet one of the following conditions:

1) a legal entity of the Republic of Kazakhstan shall be registered as a participant of special economic area in accordance with the legislation of the Republic of Kazakhstan on special economic and industrial areas;

2) legal entity of the Republic of Kazakhstan is registered as the owner of a free custom zone stock in accordance with the customs legislation of the Republic of Kazakhstan;

3) legal entity of the Republic of Kazakhstan has concluded an industrial assembly agreement of motor vehicles;

4) Is excluded by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

6. The term of investment preferences application shall be established by this Code and other legislative acts of the Republic of Kazakhstan and specified in the investment contract for each type of investment preferences.

7. Investment preferences are provided for to the investor in the case of documents submission provided for by Article 292 of this Code, confirming the investor's compliance with the requirements.

8. Investment preferences application shall be carried out in accordance with this Code and other legislative acts of the Republic of Kazakhstan.

Footnote. Article 286 as amended by the laws of the Republic of Kazakhstan dated April 28, 2016 No. 506-V (effective upon expiry of sixty calendar days after the date of its first official publication); dated December 28, 2016 No. 34-VI (effective from January 1, 2017); dated December 25, 2017 No. 122-VI (effective from January 1, 2018); No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 30.04.2021 No. 34-VII (shall be enforced from 01.01.2022).

Article 287. Exemption from customs duties

1. Legal entity of the Republic of Kazakhstan, implementing an investment project within the framework of an investment contract, is exempt from customs duties when importing technological equipment, components and spare parts, raw materials and (or) materials in accordance with the legislation of the Republic of Kazakhstan.

Leasing company is exempt from customs duties when importing technological equipment supplied within the framework of the investment project on the basis of a financial lease agreement for the legal entity of the Republic of Kazakhstan implementing the investment project.

Technological equipment are understood as goods intended for use in the technological process of an investment project.

Components are understood as components that in the aggregate make up the structural integrity of the process equipment.

5) Raw materials and (or) materials – any mineral, component, detail or other goods used for finished product producing by means of technological process;

1-1. A legal entity of the Republic of Kazakhstan implementing a special investment project under a special investment contract shall be exempted from customs duties when importing technological equipment, components and spare parts for it in accordance with the legislation of the Republic of Kazakhstan.

Exemption from customs duties on used raw materials and (or) materials imported by legal entities of the Republic of Kazakhstan as part of the implementation of a special investment project on the basis of a special investment contract shall be carried out upon completion of the customs procedure of a free customs zone or free warehouse, provided that such raw materials and materials are identified in received product and recognition of the intended use of conditionally released goods.

2. Exemption from customs duties on imports of technological equipment and components is provided for investment contract period, but not more than five years from the date of registration of the investment contract.

3. Exemption from customs duty on import of spare parts for technological equipment for up to five years is provided for to legal entities of the Republic of Kazakhstan depending on the volume of investments in fixed assets and in case of compliance of the investment project with the list of priority activities approved by the Government of the Republic of Kazakhstan.

Exemption from customs duties on imports of raw materials and (or) materials is provided for a period of five years from the date of commissioning of fixed assets under the working program.

Exemption from customs duties is provided for the investment contract period, but not more than five years from the date of commissioning of fixed assets under the working program.

The working program is an annex to the investment contract, which determines the schedule of work on the implementation of the investment project before commissioning.

If the working program provides for the introduction of two or more fixed assets, the calculation of the period of exemption from customs duty on the import of spare parts for technological equipment, raw materials and (or) materials is carried out from the date when the first fixed asset under the working program is put into operation.

This paragraph shall not apply to the conditions of investment preferences provision for a special investment project.

3-1. Exemption from import customs duties in the framework of a special investment project is provided for:

1) the participants of the special economic zones in the fifteen-year period, but not longer than the validity period of the special economic zones;

2) owners of free custom zone stock for a period not exceeding fifteen years from the date of registration of the special investment contract;

3) legal entities of the Republic of Kazakhstan that have concluded an industrial assembly agreement of motor vehicles for a period not exceeding fifteen years from the date of registration of a special investment contract.

4. Notification of the decision taken in accordance with paragraph 2 of this Article shall be sent by the authorized body for investments within five working days to the customs authority.

Footnote. Article 287 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI (effective from January 1, 2017); dated December 25, 2017 No. 122-VI(effective from January 1, 2018); dated 30.12.2020 397-VI (shall be enforced upon expiry of six months after the date of its first official publication).

Article 288. Government grant-in-kind

1. Government grant-in-kind are property that is the property of the Republic of Kazakhstan, transferred for temporary gratuitous use or provided on the right of temporary gratuitous land use to a legal entity of the Republic of Kazakhstan for the investment project implementation with subsequent gratuitous transfer of ownership or land use.

2. Government grant-in-kind in the order established by this Code shall be provided for by the authorized body for investments in coordination with the authorized body for state property management and (or) the Central authorized body for land resources management, as well as local Executive bodies for temporary gratuitous use or on the right of temporary gratuitous land use with subsequent gratuitous transfer to ownership or land use in case of investment obligations in accordance with the investment contract.

The basis for gratuitous transfer of the provided state natural grant in the property or land use shall be the decision of the competent authority on investments, which shall be made not later than three months from the date of receipt of the audit report, stipulating the fulfillment of investment obligations by the investor under the investment contract concluded between the investor and the competent authority on investments.

3. As the government grant-in-kind can be transferred: land, buildings, structures, machinery and equipment, computer equipment, measuring and regulating devices and facilities, vehicles (except auto cars), production and household equipment.

4. Evaluation of government grant-in-kind is carried out at their market value in the manner prescribed by the legislation of the Republic of Kazakhstan.

5. The maximum size of the government grant-in-kind is not more than thirty percent of the volume of investments in fixed assets of a legal entity of the Republic of Kazakhstan.

If the estimated value of the requested government grant-in-kind exceeds the specified maximum size, the legal entity of the Republic of Kazakhstan has the right to receive the requested property with payment of the difference between its estimated value and the maximum size of the government grant-in-kind.

Footnote. Article 288 as amended by Law of the RK No. 87-VII of December 27, 2021 (shall be put into effect ten calendar days after the date of its first official publication).

Article 289. Guarantees of stability in case of amendment in the legislation of the Republic of Kazakhstan

1. Legal entities implementing investment priority projects that comply with paragraph 5 of Article 286 of this Code, or implementing investment strategic projects under investment contracts concluded before January 1, 2015, or implementing an investment project under an investment agreement shall be guaranteed stability in the event of changes in:

1) the tax legislation of the Republic of Kazakhstan in accordance with the Code of the Republic of Kazakhstan "On Taxes and Other Obligatory Payments to the Budget" (Tax Code);

2) legislation of the Republic of Kazakhstan on migration of the population in the field of attracting foreign labor.

Exceptions to part one of this paragraph are the cases provided for in paragraph 4 of Article 295-2 of this Code.

2. Guarantee of stability application of the legislation of the Republic of Kazakhstan shall be canceled in case of early termination of the investment contract in the manner prescribed by this Code.

3. Legal entities that have concluded an agreement on investment obligations under Article 295-3 of this Code shall be guaranteed the stability of the tax legislation of the Republic of Kazakhstan under the Code of the Republic of Kazakhstan “On Taxes and Other Obligatory Payments to the Budget” (Tax Code) for a period of ten years.

Footnote. Article 289 as amended by the Law of the Republic of Kazakhstan dated 25.12.2017 No. 122-VI ( effective from January 1, 2018); dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); No. 87-VII of 27.12.2021 (shall be effective on 01.01.2022); dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication); dated 20.04.2023 No. 226-VII (shall be enforced from 01.07.2023).

Article 290. Tax preferences

1. Tax preferences are provided for to legal entities of the Republic of Kazakhstan in the manner and on the terms provided by the tax legislation of the Republic of Kazakhstan.

2. Types of tax preferences:

1) for investment priority projects:

reduction of the amount of calculated corporate income tax by 100 percent;

the application of the coefficient 0 to the land tax rates;

calculation of property tax at the rate of 0 percent to the tax base;

2) for investment projects, except for investment priority projects-exemption from value added tax on imports of raw materials and (or) materials under the investment contract;

3) for special investment projects – exemption of import of raw materials and (or) materials under a special investment contract from value added tax in accordance with the tax legislation of the Republic of Kazakhstan.

3. Investment contract establishes the validity period of each type of tax preferences, but no more than the absolute deadline for their application, defined in accordance with the Code of the Republic of Kazakhstan "On Taxes and other Mandatory Payments to the Budget" (Tax Code).

4. Application of tax preferences shall be canceled in case of early termination of the investment contract in the manner prescribed by this Code.

Footnote. Article 290 as amended by the Law of the Republic of Kazakhstan dated December 25, 2017 No. 122-VI (effective from January 1, 2018).

Article 291. Investment grant

Footnote. Article 291 is excluded by the Law of the Republic of Kazakhstan dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 292. Requirements for the application for investment preferences

1. Application for investment preferences provision is accepted and registered in the form established by the authorized body for investments, if available:

1) certificate of state registration (re-registration) of the legal entity;

2) the copies of the charter of the legal entity, certified by the signature of the head and seal of the legal entity.

If the legal entity shall be a private business entity, the documents affixing a seal shall not be required;

3) business plan of investment project, drawn up in accordance with the requirements established by the authorized body.

4) Excluded by the Law of the Republic of Kazakhstan dated December 25, 2017 No. 122-VI (effective from January 1, 2018).

5) documents confirming the size (cost) of the government grant-in-kind requested by the legal entity of the Republic of Kazakhstan and preliminary approvals of its provision;

6) was valid until 01.01.2017 in accordance with the Code of the Republic of Kazakhstan dated 29.10.2015 No. 375-V;

7) copies of the passport or identity document of the attracted foreign worker (with translation into the Kazakh or Russian), the employment contract concluded between the employer and the attracted foreign worker (with translation into the Kazakh or Russian), documents confirming his qualifications and (or ) education (with translation into the Kazakh or Russian).

In the case of implementation of an investment priority project in priority tourist areas, a letter from the central executive body exercising the functions of state administration in the field of tourism activities shall also be attached, confirming the implementation of the investment priority project in priority tourist areas.

1-1. An application for the provision of investment preferences within the framework of implementation of a special investment project shall be accepted and registered in the form and in the manner established by the authorized body, determined by the Government of the Republic of Kazakhstan for concluding a special investment contract.

2. If the application for the provision of investment preferences provides for the provision of tax preferences, the investor shall submit the conclusion of a comprehensive non-departmental expertise of construction projects, certified by the signature of the head, in the manner prescribed by the legislation of the Republic of Kazakhstan.

Footnote. Article 292 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI (effective from January 1, 2017); dated December 25, 2017 No. 122-VI(effective from January 1, 2018); No. 241-VI dated 02.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); No. 295-VІ dated 27.12.2019 (shall be enforced since 01.01.2020); dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); dated 30.04.2021 No. 34-VII (shall be enforced from 01.01.2022).

Article 293. Terms of application consideration for investment preferences provision

1. Application for investment preferences provision shall be submitted for consideration to the authorized body for investments, which, in accordance with the requirements established by Articles 285 and 286 of this Code, shall make a decision within twenty working days from the date of registration of the application.

Order of application consideration for an investment preference provision in the form of an investment grant is determined by the rules for an investment grant provision.

2. Order of acceptance, registration and consideration of the application for investment preferences provision is determined by the authorized body for investments.

3. Provisions of this Article shall not apply to applications for investment preferences for a special investment project.

Footnote. Article 293 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI (effective from January 1, 2017); dated December 25, 2017 No. 122-VI(effective from January 1, 2018).

Article 294. Conclusion of an investment contract

1. An investment contract is a contract for the implementation of an investment project, which provides for investments implementation and investment preferences provision.

2. Authorized body for investments within ten working days from the date of the decision investment preferences provision prepares for signing the investment contract taking into account provisions of the model-based contract.

Model-based contract is a standard contract approved by the Government of the Republic of Kazakhstan and used in the conclusion of investment contracts.

3. The investment contract is registered by the authorized body within 5 (five) working days from the date of signing and comes into force from the date of its registration.

Investment contract date is the date of its registration by the authorized body for investments.

4. Investment contract period is determined by the term of the investment preferences. Completion term of the working program shall be finished no later than nine months before the end of the investment contract.

In case of realization of the investment project by the legal entity of the Republic of Kazakhstan being concluded a financial leasing contract, the validity of the investment contract shall expire after nine months after the expiry of a financial leasing contract.

Footnote. Article 294 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016No. 34-VI(effective from January 1, 2017).

Article 295. Terms of termination of the investment contract

1. Investment preferences shall be terminated upon expiry of the investment contract or may be terminated before the expiry of such period in the manner prescribed by this Article.

2. Investment contract may be terminated before expiry:

1) by agreement of the parties;

2) unilaterally.

3. In case of non-performance or improper performance of obligations by the investor under the investment contract and in case of failure by the investor to submit documents justifying the possibility of further implementation of the investment project, the authorized body for investment shall terminate the investment contract unilaterally before the expiry of three months from the date of notification.

In case of the investment contract termination, the specified legal entity shall pay the amounts of taxes and customs duties not paid to the budget as a result of investment preferences provided under the investment contract.

4. In case of the investment contract early termination on the initiative of the legal entity of the Republic of Kazakhstan, which concluded the investment contract, the specified legal entity shall pay unilaterally the amount of taxes and customs duties not paid as a result of investment preferences provided for under the investment contract.

5. In case of early termination of the investment contract by agreement of the parties, the legal entity of the Republic of Kazakhstan, which concluded the investment contract, shall pay the amount of taxes and customs duties not paid as a result of investment preferences provided for under the investment contract.

6. In case of early termination of the investment contract, the legal entity of the Republic of Kazakhstan, which concluded the investment contract, returns the property in kind, provided to it as a state full-scale grant, or its initial cost on the date of transfer in accordance with the terms of the investment contract.

6-1. In case of termination of the investment contract, a legal entity of the Republic of Kazakhstan shall reimburse in full the amount of the investment grant paid under the investment contract.

7. The return of the state full-scale grant is carried out by the legal entity of the Republic of Kazakhstan, which concluded the investment contract, within thirty calendar days after decision making of the authorized body for investments on early termination of the investment contract.

Footnote. Article 295 as amended by the Law of the Republic of Kazakhstan dated December 25, 2017 No. 122-VI (effective from January 1, 2018).

Article 295-1. Conclusion and termination of a special investment contract

1. A special investment contract is a contract providing for the provision of investment preferences for a special investment project.

2. For the conclusion of special investment contracts, determined by the Government of the Republic of Kazakhstan, within fifteen working days from the date of receipt of the application for the provision of investment preferences for a special investment project, the authorized body shall prepare a special investment contract for signing, taking into account the provisions of a standard special investment contract approved by the authorized body for conclusion of special investment contracts, determined by the Government of the Republic of Kazakhstan.

3. The procedure and conditions for the conclusion and termination of a special investment contract shall be developed and approved by the authorized body for the conclusion of special investment contracts, determined by the Government of the Republic of Kazakhstan.

4. The term of the special investment contract is determined by the term of the investment preferences.

5. Upon early termination of a special investment contract by agreement of the parties, a legal entity of the Republic of Kazakhstan that has entered into a special investment contract shall not pay the amount of customs duties not paid as a result of investment preferences granted under a special investment contract.

Footnote. The Code is amended by adding Article 295-1 in accordance with the Law of the Republic of Kazakhstan dated December 28, 2016 No. 34-VI (effective from January 1, 2017); as amended by the Law of the Republic of Kazakhstan No. 243-VІ dated 03.04.2019 (shall be enforced upon expiry of ten calendar days after its first official publication); No. 272-VI dated November 25, 2019 (shall be enforced upon expiry of ten calendar days after the day of its first official publication).

Article 295-2. Investment agreement

1. An investment agreement is an agreement for the implementation of an investment project concluded on the basis of a decision of the Government of the Republic of Kazakhstan between a person authorized by the Government of the Republic of Kazakhstan and a legal entity, including one registered in the jurisdiction of the Astana International Financial Center, providing for investments in the amount of at least seven and a half million-fold the monthly calculation index, established by the law on the republican budget and effective as of January 1 of the corresponding fiscal year.

The investment agreement defines the conditions and procedure for granting preferences and benefits provided for by the legislation of the Republic of Kazakhstan at the time of conclusion of the investment agreement, as well as establishes counter obligations for legal entities that have concluded an investment agreement.

Investment agreements cannot be concluded for the implementation of projects in the following types of activities:

1) activities related to the trafficking of narcotic drugs, psychotropic substances and precursors;

2) production and (or) wholesale of excisable products;

3) conducting a lottery;

4) gambling business activities;

5) activities related to the circulation of radioactive materials;

6) banking activities (or certain types of banking operations) and activities in the insurance market (except for the activities of an insurance agent);

7) audit activity;

8) professional activity in the securities market;

9) digital mining activities;

10) activities of credit bureaus;

11) security activities;

12) activities related to the circulation of civilian and service weapons and ammunition;

13) activities in the field of subsoil use, including the activities of gold miners;

14) the sale of minerals, including the activities of traders, activities for the sale of coal, oil.

2. The term, procedure and conditions for the amendment and termination of the investment agreement are set out in the rules for the conclusion, amendment and termination of investment agreements approved by the authorized investment authority.

3. The provisions of the investment agreement shall remain in effect for twenty-five years from the date of its conclusion in the event of changes in the legislation of the Republic of Kazakhstan, with the exception of those provisions that arise from international treaties ratified by the Republic of Kazakhstan, as well as cases of amendments to the investment agreement by agreement of the parties.

Footnote. The Code is supplemented by Article 295-2 in accordance with the Law of the Republic of Kazakhstan dated 02.01.2021 No. 399-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication); as amended by the Law of the Republic of Kazakhstan dated 30.12.2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 295-3. Agreement on investment obligations

1. An agreement on investment obligations is an agreement concluded between the Government of the Republic of Kazakhstan and a legal entity that provides for the obligations of a legal entity to finance the capitalized subsequent expenses and (or) expenses for the acquisition, production, construction of new fixed assets, as well as to finance other costs that increase the value of fixed assets in accordance with international financial reporting standards and (or) the requirements of the legislation of the Republic of Kazakhstan on accounting and financial reporting, within eight years, including the year of filing an application for the conclusion of such an agreement, in total in the amount of at least seventy-five million times the monthly calculation index established by the law on the republican budget and effective on January 1 of the year in which the application for its conclusion was submitted.

In case of conclusion of an agreement on investment obligations with a legal entity engaged in activities in the field of extraction and (or) processing of solid minerals, such an agreement is concluded exclusively for activities in the field of extraction and (or) processing of solid minerals.

2. An agreement on investment obligations is concluded with a legal entity that simultaneously meets the following conditions:

1) a legal entity is a commodity producer, with the exception of subsoil users extracting hydrocarbon minerals and producers of petroleum products. For the purposes of this article, a commodity producer is a legal entity whose at least seventy percent of the total annual income for the year preceding the year of filing an application for an agreement on investment obligations is the income from the sale of goods of its own production or from the sale of minerals extracted by such a person and (or) products obtained as a result of processing of minerals by such a person;

2) a legal entity is a subject of large or medium-sized entrepreneurship in accordance with this Code;

3) does not carry out activities for the production of excisable goods;

4) does not apply special tax regimes.

3. A legal entity having entered into an agreement on investment commitments shall fulfill the obligations stipulated in part one of paragraph 1 hereof, pursuant to the schedule of investments, being an annex to the agreement on investment commitments.

At the same time, financing of at least fifty percent of the amount provided for in part one of paragraph 1 of this article must be carried out within the first four years, including the year of filing an application for an agreement on investment obligations.

In case the legal entity that entered into the Investment Obligations Agreement exercises the obligations stipulated in part one of paragraph 1 hereof:

1) the value of goods, works and services under contracts concluded with an interrelated party shall be accounted for in the amount of expenses actually incurred, but not exceeding fifty percent of the amount of obligations stipulated by part one of paragraph one hereof;

2) when entering into contracts for the purchase of goods, works and services, the cost thereof is accounted for in the amount of actual expenses incurred, with an interrelated party, such interrelated party must be a resident of the Republic of Kazakhstan.

4. Within the term of the agreement on investment obligations, starting from the second year from the date of its conclusion, a legal entity, not being a subsoil user, must also annually finance the training of Kazakhstani personnel in an amount of at least twenty thousand-fold of the monthly calculation index established by the law on the national budget and effective as of January 1 of the year when such financing is made.

A legal entity being a subsoil user shall finance the expenses specified in part one of this paragraph as required by the legislation of the Republic of Kazakhstan on subsoil and subsoil use.

5. An application to conclude an agreement on investment commitments shall be filed with the competent authority for investments.

A competent authority on investments within twenty working days from the date of receipt of the application for the conclusion of the agreement on investment obligations shall prepare a draft decree of the Government of the Republic of Kazakhstan for the signing of such agreement.

A competent authority on investments shall elaborate the procedure for conclusion, amendments, termination of the agreement on investment commitments and a standard form of the agreement on investment commitments to be approved by the Government of the Republic of Kazakhstan.

6. The agreement on investment obligations may be amended only in terms of changing the investment schedule, subject to the preservation of the provisions set forth in the second part of paragraph 3 hereof.

7. Conclusion of the agreement on investment obligations shall not impede the conclusion of investment contracts for the provision of investment preferences in compliance with the requirements established by this Code. Herewith the preferences for taxes shall be granted under this Code and the Code of the Republic of Kazakhstan “On Taxes and Other Obligatory Payments to the Budget”(Tax Code) in force at the time of conclusion of an agreement on investment obligations.

8. The agreement on investment obligations before the expiration of the term specified in Article 289, paragraph 3 of this Code may be terminated by agreement between the parties or unilaterally in compliance with this paragraph.

In the event of failure to perform the obligations and conditions provided for by part one of paragraph one, paragraph two, part two of paragraph three and paragraph four hereof, during the term of the investment commitment agreement, the Government of the Republic of Kazakhstan shall terminate the agreement on investment commitments unilaterally upon expiration of a three-month period from the date of notification.

In the event of early termination of the agreement on investment obligations, the legal entity that concluded such an agreement shall recalculate its tax obligations pursuant to the procedure established by the Code of the Republic of Kazakhstan “On Taxes and Other Obligatory Payments to the Budget” (the Tax Code).

Footnote. Chapter 25 as supplemented by Article 295-3 under Law of the RK No. 87-VII of December 27, 2021 (shall be effective on January 1, 2022); as amended by the Laws of the Republic of Kazakhstan dated 12/30/2022 No. 177-VII (shall be enforced ten calendar days after the date of its first official publication).

Article 296. Investment disputes settlement

1. An investment dispute is a dispute arising from contractual obligations between investors, including large investors, and government authorities in connection with the investor's investment activities.

2. Investment disputes are resolved through negotiations or in accordance with the previously agreed dispute resolution procedure.

3. If it is impossible to resolve investment disputes in accordance with the provisions of paragraph 2 of this Article, disputes shall be settled in accordance with the treaties and legislative acts of the Republic of Kazakhstan in the courts of the Republic of Kazakhstan, as well as in arbitration determined by the agreement of the parties.

4. Disputes, not related to investment disputes, shall be resolved in accordance with the legislation of the Republic of Kazakhstan.

Footnote. Article 296 as amended by the Law of the Republic of Kazakhstan dated April 8, 2016 No. 489-V (effective upon expiry of ten calendar days after the date of its first official publication).

Article 296-1. Forms of control over compliance with the terms of investment contracts

Control over compliance with the terms of investment contracts shall be carried out by the authorized body for investments in the following forms:

1) desk audit, carried out on the basis of study and analysis of reports submitted in accordance with paragraph 1 of Article 296-2 of this Code;

2) visits to the object of investment activity, including the consideration of documents for the execution of the work program and conditions of the investment contract.

Footnote. Paragraph 2 is supplemented by Article 296-1 in accordance with the Law of the Republic of Kazakhstan dated 29.06. 2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 296-2. The procedure for organizing and exercising control over compliance with the terms of investment contracts

1. After the conclusion of the investment contract, a legal entity of the Republic of Kazakhstan shall submit semi-annual reports on implementation of the investment contract no later than July 25 and January 25 with a breakdown by cost items provided for by the work program, with attachment of documents confirming the entry into operation of fixed assets, supply and use of spare parts for process equipment, raw materials and (or) materials in the form established by the authorized body for investments.

2. Amendments to the annexes of the investment contract and the special investment contract may be made by an agreement of the parties twice a year.

3. An audit with a visit to the object of investment activity shall be carried out within six months after the commissioning of fixed assets, subject to completion of the work program.

4. Based on the results of the audit, the representative of the authorized body for investments and the head of a legal entity of the Republic of Kazakhstan that has concluded the investment contract shall sign an act of the current state of execution of the work program of the investment contract in the form established by the authorized body for investments.

5. In case of non-fulfilment or improper fulfilment of the work program of the investment contract, the authorized body for investments shall send a written notification to the legal entity of the Republic of Kazakhstan that has concluded the investment contract indicating violations and set a three-month period for eliminating violations.

6. In the event that, based on the results of an audit conducted by the authorized body for investments, it is established that the technological equipment, components, spare parts for it, raw materials and (or) materials imported for the implementation of the investment project and exempted from customs duties were not put into operation or were not used, a legal entity of the Republic of Kazakhstan that did not pay the amount of customs duties due to the investment preferences granted under the investment contract shall pay them in terms of unused equipment, components, spare parts for it, raw materials and (or) materials with the accrual of penalties in the manner established by the legislation of the Republic of Kazakhstan.

7. After completion of implementation of the work program, a legal entity of the Republic of Kazakhstan that has concluded an investment contract shall submit an audit report to the authorized investment body within two months, which must contain:

1) information on fulfilment of investment obligations in accordance with the work program;

2) a breakdown of fixed assets acquired in accordance with the work program;

3) a consolidated register of documents confirming implementation of the work program;

4) information on fulfilment of conditions of the investment contract.

If the investment contract provides for the provision of an investment subsidy, the legal entity of the Republic of Kazakhstan that has concluded the investment contract shall submit an audit report of an audit organization that meets the minimum requirements established by the authorized body in the field of auditing to the authorized body within two months.

8. Information on termination of the investment contract in order to ensure the protection of economic interests of the state shall be sent to:

1) the state revenue bodies and, if necessary, to other state bodies for taking appropriate measures;

2) the state revenue bodies, the authorized body for state property management and (or) the central authorized body for land management, as well as local executive bodies under investment contracts, according to which a state in-kind grant is provided.

9. A legal entity of the Republic of Kazakhstan that has concluded an investment contract, during the validity of the investment contract shall not have the right to:

1) change the intended purpose of the provided state in-kind grant, as well as property acquired in accordance with the work program;

2) alienate the provided state in-kind grant, as well as property acquired in accordance with the work program.

10. Control over the intended use of objects exempted from customs duties shall be carried out in the manner determined by the Eurasian Economic Commission.

Footnote. Paragraph 2 is supplemented by Article 296-2 in accordance with the Law of the Republic of Kazakhstan dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Chapter 26. SPECIAL PROTECTIVE, ANTI-DUMPING AND COUNTERVAILING MEASURES IN RELATION TO THIRD COUNTRIES

Article 297. General provisions on the introduction of measures to protect the domestic market

1. In order to protect the economic interests of the Republic of Kazakhstan, measures may be introduced to protect the domestic market in respect of goods originating from third countries and imported into the customs territory of the Eurasian Economic Union in the form of special, protective, anti-dumping and countervailing measures.

Third countries are understood as countries and (or) associations of countries that are not parties to the Treaty on the Eurasian Economic Union, as well as territories included in the world classification approved by the Eurasian Economic Commission.

2. Decisions on the introduction and application, revision or cancellation of special, protective, anti-dumping or countervailing measures or non-application of the relevant measure shall be taken by the Eurasian Economic Commission.

Special, protective, anti-dumping and countervailing measures application, investigation prior to the application of special protective, anti-dumping and countervailing measures are regulated by the Law of the Republic of Kazakhstan "On special, protective, anti-dumping and countervailing measures in relation to third countries".

Article 298. Types of measures

1. A special, protective measure is a measure to limit the increased import of goods into the customs territory of the Eurasian Economic Union, which is applied by the decision of the Eurasian Economic Commission through the introduction of an import quota, a special quota or a special duty, including a preliminary special duty.

2. An anti-dumping measure is a measure to counteract dumping imports, which is applied by the decision of the Eurasian Economic Commission through the introduction of an anti-dumping duty, including a preliminary anti-dumping duty, or the approval of price commitments made by the exporter.

3. A compensatory measure is a measure to neutralize the impact of a specific subsidy of the exporting third country on the economic sector of the member-states, applied by the decision of the Eurasian Economic Commission through the introduction of a compensation fee (including a preliminary compensation fee) or approval of voluntary commitments made by the authorized body of the subsidizing third country or exporter.

Article 299. Principles of special protective, anti-dumping and countervailing measures application

A special protective measure may be applied to the goods if, as a result of the investigation, it is established that the import of the goods into the customs territory of the Eurasian Economic Union is carried out in such increased quantities (in absolute or relative terms to the total volume of production in the member-states of similar or directly competing goods) and on such conditions that it causes serious damage to the branch of the economy of the member-states or creates a threat of causing such damage.

An anti-dumping measure shall be applied to the goods that are the subject of dumping imports if, as a result of an investigation conducted by the body conducting the investigation, it is established that the import of such goods into the customs territory of the Eurasian Economic Union causes material damage to the branch of the economy of the member-states, creates a threat of causing such damage or significantly slows down the creation of the branch of the economy of the member-states.

Compensatory measure may be applied to the imported goods, in the production, export or transportation of which a specific subsidy of the exporting third country was used, if, according to the results of the investigation conducted by the body conducting the investigation, it is established that the import of such goods to the customs territory of the Eurasian Economic Union causes material damage to the branch of the economy of the member-states, creates a threat of causing such damage or significantly slows down the creation of the branch of the economy of the member-states.

Member States are understood as States that are members of the Eurasian Economic Union and Parties to the Treaty on the Eurasian Economic Union.

SECTION 6. PROTECTION FORMS AND REMEDIES OF BUSINESS ENTITIES
Chapter 27. PROTECTION OF BUSINESS ENTITIES RIGHTS

Article 300. Protection forms of business entities rights

1. Every business entity has the right to judicial protection of its rights, freedoms and legitimate interests.

Protection of violated or disputed rights of business entities may be carried out in a different manner provided for by the laws of the Republic of Kazakhstan (arbitration, mediation, Business Rights Commissioner of Kazakhstan, Ombudsman, negotiations, claims procedure and others).

2. Business entities rights protection may be carried out by appealing the actions (inaction) of officials and acts (decisions) of state bodies in cases provided for by this Code and the laws of the Republic of Kazakhstan.

3. In cases specifically provided for by law, the rights protection of business entities may be carried out by direct actual or legal actions of the business entity whose right is violated (self-defense).

Article 301. Judicial form of defence

Business entities shall have the right to apply to the court for the protection of violated or disputed rights, freedoms or legitimate interests in the manner prescribed by the laws of the Republic of Kazakhstan,

Footnote. Article 301 is in the wording of the Law of the Republic of Kazakhstan dated 29.06.2020 No. 351-VI (shall be enforced from 01.07.2021).

Article 302. Pre-trial disputes settlement, the parties of which are business entities

1. Business entities, whose rights and legitimate interests have been violated, in order to directly resolve the dispute with the violator of these rights, apply to him with a written claim in the manner prescribed by the laws of the Republic of Kazakhstan.

2. In cases, established by the laws of the Republic of Kazakhstan, when compliance with the pre-trial dispute settlement procedure is optional, the business entity has the right to apply directly to the court for the protection of its violated right.

3. In case of non-settlement of disputes in the pre-trial procedure, business entities shall have the right to apply to the court in the manner established by the laws of the Republic of Kazakhstan.

Footnote. Article 302 as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 351-VI (shall be enforced from 01.07.2021).

Article 303. Amicable protection forms

1. Protection of the rights of business entities may be carried out in the following forms provided for by the laws of the Republic of Kazakhstan and (or) the contract:

1) in arbitration;

2) through the mediation;

3) in the manner of the participatory procedure.

2. Other non-judicial protection forms of the rights of business entities in cases provided for by the laws of the Republic of Kazakhstan, may be established.

3. In order to enforce the rights and legitimate interests of business entities, disputes settlement arising in the course of business activities, business entities have the right to apply to the Business Rights Commissioner of Kazakhstan, the Ombudsman in cases provided for by this Code and other laws of the Republic of Kazakhstan.

Article 304. Protection of rights in arbitration

1.Unless otherwise provided by the laws of the Republic of Kazakhstan, a dispute arising from civil law relations may be considered in arbitration in the manner provided by the laws of the Republic of Kazakhstan, in the presence of an arbitration agreement.

2. To resolve a dispute, arbitrations may be established in the form of permanent arbitral institution or arbitration to resolve a certain dispute.

3. Organization and procedure for the activities of permanent arbitrations shall be established by their rules and laws of the Republic of Kazakhstan, treaties of the Republic of Kazakhstan.

4. If other requirements to the organization and arbitration standard operating procedures, created for resolution of a specific dispute, are not established by the law and treaties of the Republic of Kazakhstan, they are determined by the agreement of the parties.

5. If the arbitral award is not executed voluntarily within the period established in it, it shall be subject to enforcement in the manner provided by the Civil Procedure Code of the Republic of Kazakhstan.

Footnote. Article 304 as amended by the Law of the Republic of Kazakhstan dated April 8, 2016No. 489-V (effective upon expiry of ten calendar days after the date of its first official publication).

Article 305. Protection of the rights through procedure application of the mediation

1. Mediation between business entities is carried out by mutual agreement of the parties and at the conclusion of a mediation agreement between them.

2. Mediation in the disputes settlement arising from civil and other legal relations with the participation of business entities can be applied both before initiation of legal action and after the claim acceptance by the court.

3. General terms and conditions of mediation are provided by the law of the Republic of Kazakhstan "On mediation".

Article 306. Protection of rights in the participative procedure

1. Business entities have the right to conclude an agreement on the dispute settlement in the form of a participatory procedure.

2. Participative procedure shall be conducted without the participation of a judge by means of negotiations between the parties, with the assistance of the dispute adjustment by the lawyers of both parties.

3. General terms and conditions of the participatory procedure are regulated by the Civil Procedure Code of the Republic of Kazakhstan.

Chapter 28. BUSINESS RIGHTS COMMISSIONER OF KAZAKHSTAN INVESTMENT OMBUDSMAN
Paragraph 1. Legal status of Business Rights Commissioner of Kazakhstan

Article 307. Concept of Business Rights Commissioner of Kazakhstan

1. Business Rights Commissioner of Kazakhstan is a person appointed to the post by the Order of the President of the Republic of Kazakhstan in order to represent, ensure and protect the rights and legitimate interests of business entities in state bodies, as well as to protect the interests of the business community.

Business Rights Commissioner of Kazakhstan is accountable to the President of the Republic of Kazakhstan.

2. No one has the right to impose on the Business Rights Commissioner of Kazakhstan functions not provided for by this Code. Any illegal interference in the activities of the Business Rights Commissioner of Kazakhstan is not allowed.

3. For the period of implementation of its powers, Business Rights Commissioner of Kazakhstan suspends its membership in political parties and other public associations.

4. Business Rights Commissioner of Kazakhstan has no right to engage in political activities.

5. Business Rights Commissioner of Kazakhstan in accordance with the established procedure within a month after taking office is obliged to transfer to the trust management the shares in his ownership, shares (shares), shares of the authorized capital of commercial organizations and other property, the use of which entails the receipt of income, except for money legally owned by this person, as well as property transferred to the property lease. Business Rights Commissioner of Kazakhstan may not transfer to the trust management of the bonds belonging to him, shares of open and interval mutual investment funds, and also has the right to receive income from the property transferred to the trust management and has the right to transfer to the property rental housing.

6. Business Rights Commissioner of Kazakhstan may not hold paid positions in other organizations, except for teaching, research or other creative activities.

Article 308. Basics of Business Rights Commissioner of Kazakhstan activities

Business Rights Commissioner of Kazakhstan activities is based on:

1) legitimacy;

2) priority of protection of business entities rights and legitimate interests;

3) objectivity;

4) publicity.

Article 309. Duties of Business Rights Commissioner of Kazakhstan

Business Rights Commissioner of Kazakhstan in order to represent, ensure and protect the rights and legitimate interests of business entities, as well as to protect the interests of the business community:

1) shall represent, ensure, protect the rights and legitimate interests of business entities in state bodies and other organizations of the Republic of Kazakhstan, as well as international organizations and foreign states;

2) shall consider applications of business entities;

3) shall make proposals to the state bodies on the protection of the rights of business entities, as well as recommendations on the suspension of subordinate regulatory legal acts;

3-1) shall submit proposals to the competent authority on entrepreneurship to repeal or revise existing regulatory instruments and (or) requirements on complaints of business entities pursuant to paragraph 3 of Article 82 of this Code;

4) shall send to the state bodies (officials), actions (inaction) having violated the rights and legitimate interests of business entities, recommendations on measures to restore the violated rights, including the involvement of persons guilty of business entities rights and legitimate interests violation, to responsibility;

5) shall send applications to the Prosecutor's office in case of disagreement with the opinion of state bodies in order to further restore violated business rights;

6) shall submit applications to the President of the Republic of Kazakhstan in case of occurrence of facts of business rights systematic violation and impossibility of their resolution at the level of state bodies;

7) shall request from the state bodies (officials) the information, documents and materials relating to the rights and obligations of business entities, with the exception of information constituting a state, commercial, bank and other secret protected by the law;

8) shall apply to the court with a claim (application) in accordance with the legislation of the Republic of Kazakhstan;

9) shall take other legal measures aimed at restoring the violated rights and legitimate interests of business entities.

Footnote. Article 309 as amended by Law of the RK No. 95-VII of December 30, 2021 (shall be put into effect ten calendar days after its first official publication).

Article 310. Obligations of Business Rights Commissioner of Kazakhstan

1. In carrying out activities, the Business Rights Commissioner of Kazakhstan is obliged:

1) to comply with the Constitution and legislation of the Republic of Kazakhstan;

2) to take measures to ensure the observance and protection of the rights and legitimate interests of business entities;

3) to be objective and impartial when considering applications;

4) not to take any actions that impedes the exercise of the rights of a person seeking protection.

2. Business Rights Commissioner of Kazakhstan annually submits to the President of the Republic of Kazakhstan a report on the results of the work done to protect the business rights, which is placed in the mass media.

Article 311. Order of applications consideration by the Business Rights Commissioner of Kazakhstan

1. Business Rights Commissioner of Kazakhstan within its competence:

1) shall consider applications of business entities (hereinafter – the applicant), except for applications:

which have not been previously considered by the state bodies within their competence;

on the facts of applicant's rights violation by other private business entities;

2) shall inform the applicants about the direction of their applications to the authorized state bodies and organizations;

3) shall inform applicants on results of consideration of their references and taken measures;

2. Business Rights Commissioner of Kazakhstan within ten calendar days shall consider applications of applicants for compliance with the requirements set out in subparagraph 1) of paragraph 1 of this Article, in case of failure to comply with which leaves the application without consideration, as shall notify the applicant in writing form.

3. Applications of applicants, received by the Business Rights Commissioner of Kazakhstan, shall be considered within thirty calendar days.

4. If necessary, the period of applications consideration received by the Business Rights Commissioner of Kazakhstan, shall be extended with the obligatory notification of the applicant about the work.

5. As a result of consideration, the applicant is provided for with a response on the merits of the application within the competence of the Business Rights Commissioner of Kazakhstan.

6. Procedure for extending the terms of appeals consideration, sending to the authorized state bodies and organizations, informing applicants about the course of appeals consideration is established by the Business Rights Commissioner of Kazakhstan.

Article 312. Appointment and dismissal of the Business Rights Commissioner of Kazakhstan

1. Person appointed to the position of the Business Rights Commissioner of Kazakhstan shall meet the following requirements:

1) have citizenship of the Republic of Kazakhstan;

2) have higher education;

3) have at least five years of experience in protection of the rights and legitimate interests of entrepreneurs.

2. Business Rights Commissioner of Kazakhstan is appointed by Order of the President of the Republic of Kazakhstan for a period of four years.

3. Business Rights Commissioner of Kazakhstan may be dismiss from office early by the decision of the President of the Republic of Kazakhstan on the following grounds:

1) voluntary;

2) health reasons preventing further execution of professional duties according to the medical report;

3) failure to comply with the obligations and restrictions established by this Code;

4) violation of official duties, commission of misdeeds inconsistent with the position held;

5) departure for permanent residence outside the Republic of Kazakhstan.

4. Powers of Business Rights Commissioner of Kazakhstan shall be terminated in the following cases:

1) termination of citizenship of the Republic of Kazakhstan by the Business Rights Commissioner of Kazakhstan;

2) Entry of court decision into legal force on the recognition of the Business Rights Commissioner of Kazakhstan as incapable or partially capable or on the application of compulsory medical measures to him;

3) Entry of condemnatory judgement into legal force concerning Business Rights Commissioner of Kazakhstan;

4) Death of Business Rights Commissioner of Kazakhstan or entry of court decision into legal force to declare him dead.

5. The same person may not be appointed to the position of Business Rights Commissioner of Kazakhstan more than two consecutive times.

Article 313. Basics of Business Rights Commissioner of Kazakhstan activities

Business Rights Commissioner of Kazakhstan activities is provided by the National Chamber.

Paragraph 2. Investment Ombudsman legal status

Article 314. Investment Ombudsmen

1. Investment Ombudsman is an officer appointed (assigned) by the Government of the Republic of Kazakhstan, who is entrusted with the functions of assistance in protecting the rights and legitimate interests of investors;

2. Investment ombudsman shall carry out his activities in compliance with the Constitution of the Republic of Kazakhstan, the laws of the Republic of Kazakhstan, the Acts of the President and the Government of the Republic of Kazakhstan and other regulations, as well as these Regulations.

Article 315. Duties of Investment Ombudsmen

1. In order to ensure and protect the rights and legitimate interests of investors, Investment Ombudsman:

1) shall consider investors' appeals on issues arising in the course of investment activities in the Republic of Kazakhstan, and make recommendations for their resolution, including interacting with state bodies;

2) shall provide assistance to investors in resolving emerging issues out-of-court and pre-court procedures;

3) shall develop and submit to the Government of the Republic of Kazakhstan recommendations on improving the legislation of the Republic of Kazakhstan on investment activities.

2. Investment Ombudsman recommendations are issued in the form of letters and minutes of meetings with Investment Ombudsman.

3. Investment Ombudsman shall conducts consultations with state bodies and organizations and scheduled meeting to resolve issues of investors arising out-of-court and pre-court procedures.

4. Investment Ombudsman, in the event that investor's issues cannot be resolved in accordance with the applicable legislation, shall develop and make recommendations on legislation improvement of the Republic of Kazakhstan, and directs them to the Government of the Republic of Kazakhstan.

Article 316. 3. Rights and obligations of Investment Ombudsman

1. The Investment Ombudsman has the right:

1) to request and receive from state bodies and organizations, regardless of the form of ownership, the information necessary for the consideration of applications, except for information constituting a commercial secret;

2) for immediate reception by Chiefs and other officials of state bodies and organizations;

3) to hear the Chiefs of interested state bodies and organizations or their Deputies on the applications of investors;

4) other rights necessary for the implementation of the functions assigned to the Investment Ombudsman.

2. In carrying out the activities, the Investment Ombudsman is obliged:

1) to take measures to ensure the observance and protection of the rights and legitimate interests of investors;

2) to consider in the order and terms established by the legislation of the Republic of Kazakhstan, applications of investors on the actions (inaction) of officials, decisions of state bodies, other organizations and their officials, as well as take the necessary measures on them;

3) to be objective and impartial when considering applications;

4) not to take any actions that impedes the exercise of the rights of a person seeking protection.

Article 317. Organization of Investment Ombudsman activities

Investment Ombudsman activities is ensured by an authorized authority for investment.

Regulations on the Investment Ombudsman activities shall be approved by the Government of the Republic of Kazakhstan.

Chapter 29. APPEAL AGAINST DECISIONS, ACTIONS (INACTION) OF STATE BODIES AND OFFICIALS

Article 318. Obligation to consider the complaint of business entities

Complaints filed in the manner prescribed by the laws of the Republic of Kazakhstan shall be subject to mandatory acceptance, registration and consideration. Refusal to accept complaint is prohibited.

State body (state body official) is obliged to consider the complaint filed by the business entity in the order and terms established by the laws of the Republic of Kazakhstan.

Article 319. Leave to appeal

1. Decisions, actions (inaction) of state bodies and officials may be appealed in the manner prescribed by the laws of the Republic of Kazakhstan by business entities, if they affect their rights and legitimate interests.

2. The complaint shall be filed with the state body, whose competence includes its consideration and adoption of a decision on it. A complaint shall be filed in the manner prescribed by the laws of the Republic of Kazakhstan.

Footnote. Article 319 as amended by the Law of the Republic of Kazakhstan dated 29.06.2020 No. 351-VI (shall be enforced 01.07.2021).

SECTION 7. RESPONSIBILITY FOR VIOLATION OF THE LEGISLATION OF THE
REPUBLIC OF KAZAKHSTAN IN ENTREPRENEURSHIP. TRANSITORY AND FINAL
PROVISIONS
Chapter 30. RESPONSIBILITY FOR VIOLATION OF THE LEGISLATION OF THE
REPUBLIC OF KAZAKHSTAN IN ENTREPRENEURSHIP

Article 320. Responsibility for violation of the legislation of the Republic of Kazakhstan in entrepreneurship

1. Violation of the legislation of the Republic of Kazakhstan in entrepreneurship shall entail liability established by the laws of the Republic of Kazakhstan.

2. State bodies and their officials shall bear the responsibility established by the laws of the Republic of Kazakhstan for the illegal distribution and (or) use of information constituting a commercial secret, and the damage caused to a business entity as a result of such distribution and (or) use, shall be refundable in accordance with the civil laws of the Republic of Kazakhstan.

3. Obstruction of legal business activity shall entail liability established by the laws of the Republic of Kazakhstan.

4. All losses incurred by a business entity as a result of obstruction of its legitimate business activity shall be refundable to compensation in accordance with the civil laws of the Republic of Kazakhstan.

Article 321. Responsibility of state bodies and their officials for non-performance or improper performance of their official duties

1. State bodies and their officials in case of non-performance or improper performance of their duties in the process of interaction of business entities and the state, including the state regulation and support of entrepreneurship, as well as in case of illegal actions (inaction) shall be liable, established by the laws of the Republic of Kazakhstan.

2. State bodies are obliged to inform in writing form the business entity, whose rights and legitimate interests have been violated, about the measures taken against the state bodies officials responsible for the violation of the legislation of the Republic of Kazakhstan within one month.

Article 322. Responsibility for violation of the established order of the business entity inspection

1. Illegal actions of state bodies officials during inspections entail liability established by the laws of the Republic of Kazakhstan.

2. Damage caused to a business entity by a state body or its official in the implementation of state control and supervision shall be subject to compensation in accordance with the civil laws of the Republic of Kazakhstan.

The amount of damages for compensation, including the amount of remuneration paid to employees of business entities for the preparation of inspection materials, wages for the time of production forced stop, lost profits that would have received the business entity in the implementation of the relevant goods, works, services not released as a result of production suspension.

Chapter 31. TRANSITORY AND FINAL PROVISIONS

Article 323. Application procedure of certain provisions of this Code

1. Benefits, provided for on the basis of investment contracts concluded with the authorized body for investments prior to the enactment of the Law of the Republic of Kazakhstan dated January 8, 2003 "On investments", shall remain in force until the expiration of the period established in these investment contracts.

2. The norms of paragraphs 3, 4 and 5 of Article 295, paragraph 1 of Article 296-2 of this Code regarding the payment of taxes remain valid for investment contracts concluded with the authorized investment body until January 1, 2009.

3. Provisions of paragraph 1 of Article 287 of this Code in terms of exemption from import customs duties of leasing companies apply to investment contracts concluded with the authorized body for investments from October 1, 2016.

Footnote. Article 323 as amended by the Law of the Republic of Kazakhstan dated December 28, 2016No. 34-VI (effective from January 1, 2017); dated 29.06.2020 No. 352-VI (shall be enforced upon expiry of ten calendar days after the date of its first official publication).

Article 324. Procedure for Entry into Force of this Code

1. This Code shall be enforced since January 1, 2016 as excluded:

1) sub-paragraph 2) of the second part of paragraph 2 of Article 36 and sub-paragraph 5) of paragraph 2 of Article 38 of this Code, which shall enter into force on February 6, 2016;

2) part two of paragraph 4 of Article 193 of this Code, which shall enter into force on March 1, 2016;

3) the title of Article 211 of the table of contents, article 211, sub-paragraph 2) of paragraph 2 of Article 290 of this Code, which shall enter into force on 1 January 2017;

4) sub-paragraph 19) of paragraph 2 of Article 3, Article 22, paragraph 2 of Article 58, Article 62, sub-paragraph 5 of the third part of paragraph 2 of Article 80 and sub-paragraph 4) of paragraph 2 of Article 82 of this Code, which shall enter into force after the enactment of the legislative act on self-regulation;

5) provisions of the third part of paragraph 1 of Article 65, Article 66 of this Code in terms of expert opinions on the concepts of draft laws affecting the interests of business entities shall enter into force after the enactment of the legislative act on legal acts;

6) sub-paragraph 111) of Article 138 of this Code, which shall enter into force after the enactment of the legislative act on the organic products production.

2. Establish that headings of Articles 173 and 197 of the table of contents, sub-paragraphs 9), 13) and 14) of Article 88, sub-paragraph 4) of paragraph 3 of Article 116, sub-paragraph 68) of Article 138, Article 173, sub-paragraph 3) of Article 195, sub-paragraph 2) of paragraph 6 of Article 196, Article 197, sub-paragraph 6) of paragraph 1 of Article 292 of this Code is valid till January 1, 2017.

3. Establish that the heading of Article 119 of the table of contents of this Code till January 1, 2017 is amended read as follows:

"Article 119. Pricing for goods, works, services produced and sold by regulated market entities".

4. Suspend until March 1, 2016 the effect of sub-paragraph 1) of paragraph 1 of Article 36 of this Code, establishing that during the suspension of this sub-paragraph is hereby amended to be valid as follows:

"1. For state registration as an individual entrepreneur, an individual shall submit directly to the State revenue committee or through the Public service center:".

5. Suspend until January 1, 2017 the effect of sub-paragraphs 7) and 16) of Article 88 of this Code, establishing that during the suspension of this sub-paragraphs is hereby amended to be valid as follows:

"7) warns and eliminates abuses of the dominant or monopolistic position in the relevant product market, with the exception of violations stipulated by the legislation of the Republic of Kazakhstan concerning natural monopolies and regulated markets;";

"16) identify monopolistically high and low price set by the market entity having dominant or monopolistic position, except for market entities selling goods in regulated markets;".

7. Suspend until March 1, 2016 the effect of sub-paragraph 2) of paragraph 2 of Article 110 of this Code, establishing that during the suspension of this sub-paragraph is hereby amended to be valid as follows:

"2) to appeal against decisions, actions (inactions) of permitting authorities and state bodies that receive notifications, and (or) their officials, Public Service Center and (or) its employees on licensing and permitting procedures or receiving notifications in accordance with the legislation of the Republic of Kazakhstan;".

7. Suspend until January 1, 2017 the effect of sub-paragraph 4) of paragraph 3 of Article 111 of this Code, establishing that during the suspension of this sub-paragraph is hereby amended to be valid as follows:

"4) provide to public authorities and public service centers documents and (or) information necessary for the implementation of licensing and licensing procedures, including through information systems;".

8. Suspend until January 1, 2017 the effect of paragraphs 1 and 2 of Article 118 of this Code, establishing that during the suspension of this paragraphs is hereby amended to be valid as follows:

"1. 1. Tariff setting on goods, works, services in natural monopoly is carried out in accordance with the legislation of the Republic of Kazakhstan concerning natural monopolies and regulated markets.

2. Tariffs (prices, charge rates) or their limits on regulated goods, works, services of a natural monopoly entity approved by an authorized body in natural monopolies and regulated markets, taking into account the quality and reliability of goods produced, works performed, services rendered not lower than the cost of expenses necessary for the provision of regulated goods, works, services, and to consider the possibility of making a profit, ensuring the effective functioning of the natural monopoly entity.

9. Suspend until January 1, 2017 the effect of Article 119 of this Code, establishing that during the suspension of this Article is hereby amended to be valid as follows:

"Article 119. Pricing for goods, works, services produced and sold by regulated market entities

1. State regulation of prices applies to goods, works, services of the regulated markets entities in railway transport, electricity and heat power, petroleum products production, oil transportation, civil aviation, port activities, telecommunications and postal services, as well as gas, taking into account the features established by the Law of the Republic of Kazakhstan "On Gas and Gas supply".

Authorized body, responsible for managing natural monopolies and regulated markets, approves the list of goods, works and services of regulated markets entities, which are subject to state regulation of prices.

2. As a temporary measure for a certain period on the territory of the Republic of Kazakhstan, in the order determined by the anti-monopoly authority, state price regulation may be introduced in certain commodity markets and (or) for goods (works, services) of individual market entities.

General term of application of state price regulation stipulated by this Article may not exceed one hundred and eighty calendar days within one year.

3. Pricing for goods, works, services produced and sold by the regulated market entities shall be carried out in accordance with the legislation of the Republic of Kazakhstan concerning natural monopolies and regulated markets by setting the maximum price.".

10. Suspend until January 1, 2017 the effect of paragraph 2 of Article 122 of this Code, establishing that during the suspension of this paragraph is hereby amended to be valid as follows:

"2. Authorized body in petroleum products production as agreed with the authorized body, exercising leadership concerning natural monopolies, in the manner, approved by the authorized body in petroleum products production, shall establish maximum prices for petroleum products retail sales, for which state price regulation is established.

11. Suspend until January 1, 2017 the effect of sub-paragraph 54) of Article 138 of this Code, establishing that during the suspension of this sub-paragraph is hereby amended to be valid as follows:

"54) return of taxes and other mandatory payments to the budget, and also completeness and timely transfer of obligatory pension contributions, mandatory professional pension contributions to the unified accumulative pension Fund and social contributions to the State social insurance Fund;".

12. Suspend until January 1, 2017 the validity of paragraph 3 of Article 193 of this Code, establishing that during the suspension of this paragraph is hereby amended to be valid as follows:

1) from January 1, 2016 to March 1, 2016:

"3. Implementation of the exclusive right is carried out by creating a state monopoly entity. State monopoly entities can be only the state enterprise created by the Government of the Republic of Kazakhstan or local executive bodies of regions, cities of republican status, the capital by the decision of the Government of the Republic of Kazakhstan.";

2) from March 1, 2016 to January 1, 2017:

"3. Implementation of the exclusive right is carried out by creating a state monopoly entity. Only a state enterprise created by the Government of the Republic of Kazakhstan or local executive bodies of regions, cities of republican status, the capital by decision of the Government of the Republic of Kazakhstan can be a state monopoly entity, with the exception of the State Corporation "Government for Citizens.".

13. Suspend for the period from March 1, 2016 to January 1, 2017 the effect of part two of paragraph 4 of Article 193 of this Code, establishing that during the period of suspension, this part is hereby amended to be valid as follows:

"Restrictions provided for in sub-paragraphs 1) and 2) of part one of this paragraph shall not apply to the State Corporation "Government for citizens".

14. Suspend until January 1, 2017 the effect of sub-paragraph 1) of paragraph 2 of Article 241 of this Code, establishing that during the suspension of this sub-paragraph is hereby amended to be valid as follows:

"1) in the manner and on the terms provided by legislation of the Republic of Kazakhstan, excused from payment for connected power in electrical energy, heat-, water supply and sewerage using the laws of the Republic of Kazakhstan concerning natural monopolies and regulated markets;

15. Declare to be no longer in force:

1) Law of the Republic of Kazakhstan dated March 31, 1998 "On farming enterprise" (Statements of the Parliament of the Republic of Kazakhstan, 1998, No. 2-3, Art. 26; 2001, No. 24, Art. 338; 2003, No. 1-2, Art. 6; No. 4, Art. 26; No. 24, Art. 178; 2006, No. 1, Art. 5; No. 15, Art. 95; 2007, No. 9, Art. 67; No. 15, Art. 106; No. 18, Art. 143; 2008, No. 24, Art. 129; 2009, No. 15-16, Art. 76; 2010 No. 5 Art. 23; 2011, No. 6, Art. 49; 2013, No. 14, Art. 72; 2014 No. 21, Art. 122);

2) Law of the Republic of Kazakhstan "On Investments" dated January 8, 2003 (Statements of the Parliament of the Republic of Kazakhstan, 2003, No. 1-2, Art. 4; 2005, No. 9, Art. 26; 2006, No. 3, Art. 22; 2007, No. 4, Art. 28; 2008, No. 15-16, Art. 64; No. 23, Art. 114; 2009, No. 2-3, Art. 18; 2010, No. 5, Art. 23; 2012, No. 2, Art. 11; No. 6, Art. 46; No. 15, Art. 97; No. 21-22, Art. 124; 2013, No. 15, Art. 82; 2014, No. 11, Art. 64; No. 21, Art. 122; No. 23, Art. 143);

3) Law if the Republic of Kazakhstan "On Private Entrepreneurship" dated January 31, 2006 (Statements of the Parliament of the Republic of Kazakhstan, 2006, No. 3, Art. 21; No. 16, Art. 99; No. 23, Art. 141; 2007, No. 2, Art. 18; No. 3, Art. 20; No. 17, Art. 136; 2008, No. 13-14, Art. 57, 58; No.15-16, Art. 60; No. 23, Art. 114; No. 24, Art. 128, 129; 2009, No. 2-3, Art. 18, 21; No. 9-10, Art. 47, 48; No. 11-12, Art. 54; No. 15-16, Art. 74, 77; No. 17, Art. 82; No.18, Art. 84, 86; No. 19, Art. 88; No. 23, Art. 97; No. 24, Art. 125, 134; 2010, No. 5, Art. 23; No. 7, Art. 29; No.15, Art. 71; No. 22, Art. 128; No. 24, Art. 149; 2011, No. 1, Art. 2; No. 2, Art. 26; No. 6, Art. 49; No. 11, Art. 102; 2012, No. 15, Art. 97; No. 20, Art. 121; No. 21-22, Art. 124; 2013, No. 1, Art. 3; No. 5-6, Art. 30; No. 14, Art. 75; No. 15, Art. 81; No. 21-22, Art. 115; 2014, No. 1, Art. 4; No. 4-5, Art. 24; No. 10, Art. 52; No. 14, Art. 84; No. 16, Art. 90; No. 19-I, 19-II, Art. 94, 96; No. 21, Art. 122; No. 22, Art. 131; No. 23, Art. 143; 2015, No. 8, Art. 42; No. 11, Art. 52);

4) Law of the Republic of Kazakhstan "On Competition" dated December 25, 2008 (Statements of the Parliament of the Republic of Kazakhstan, 2008, No. 24, Art. 125; 2009, No. 15-16, Art. 74; 2010, No. 5, Art. 23; 2011, No. 6, Art. 50; No. 11, Art. 102; No. 12, Art. 111; 2012, No. 13, Art. 91; No. 14, Art. 95; No. 15, Art. 97; 2013, No. 4, Art. 21; No. 10-11, Art. 56; No. 14, Art. 72; 2014, No. 1, Art. 4; No. 4-5, Art. 24; No. 14, Art. 84; No. 19-I, 19-II, Art. 96; No. 21, Art. 122; No. 23, Art. 143; 2015, No. 8, Art. 42; No. 9, Art. 46);

5) Law of the Republic of Kazakhstan "On the State control and supervision in the Republic of Kazakhstan" dated January 6, 2011 (Statements of the Parliament of the Republic of Kazakhstan, 2011, No. 1, Art. 1; No. 2, Art. 26; No. 11, Art. 102; No.15, Art. 120; 2012, No. 1, Art. 5; No. 2, Art. 9, 14; No. 3, Art. 21, 25, 27; No. 8, Art. 64; No. 10, Art. 77; No. 11, Art. 80; No. 13, Art. 91; No.14, Art. 92, 95; No. 15, Art. 97; No. 20, Art. 121; No. 23-24, Art. 125; 2013, No. 2, Art. 11; No.10-11, Art. 56; No. 14, Art. 72; No. 16, Art. 83; No. 21-22, Art. 115; No. 23-24, Art. 116; 2014, No. 4-5, Art. 24; No. 7, Art. 37; No. 8, Art. 49; No.10, Art. 52; No. 11, Art. 61, 67; No. 14, Art. 84; No. 16, Art. 90; No. 19-I, 19-II, Art. 96; No. 21, Art. 122; No. 23, Art. 143; No. 24, Art. 144; 2015, No.9, Art. 46);

6) Law of the Republic of Kazakhstan dated January 9, 2012 "On State support of industrial and innovative activity" (Statements of the Parliament of the Republic of Kazakhstan, 2012, No. 2, Art. 10; No.14, Art. 92; 2013, No. 9, Art. 51; No. 14, Art. 75; No. 15, Art. 81; 2014, No.1, Art. 4; No. 11, Art. 63; No. 19-I, 19-II, Art. 96).

President of the Republic of Kazakhstan

N. NAZARBAYEV

Предпринимательский кодекс Республики Казахстан

Кодекс Республики Казахстан от 29 октября 2015 года № 375-V ЗРК.

Сноска. По всему тексту слова "оралманов", "оралманы", "оралман" и "Оралманы" заменены соответственно словами "кандасов", "кандасы", "кандас" и "Кандасы" в соответствии с Законом РК от 13.05.2020 № 327-VI (вводится в действие после дня введения в действие соответствующих изменений и дополнений в Кодекс РК "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс)).
Примечание РЦПИ!
Порядок введения в действие настоящего Закона см. ст.324
Примечание ИЗПИ!
Для удобства пользования ИЗПИ создано Содержание

СОДЕРЖАНИЕ

Сноска. Оглавление исключено Законом РК от 08.06.2021 № 48-VII (вводится в действие с 01.01.2022).

Настоящий Кодекс определяет правовые, экономические и социальные условия и гарантии, обеспечивающие свободу предпринимательства в Республике Казахстан, регулирует общественные отношения, возникающие в связи с взаимодействием субъектов предпринимательства и государства, в том числе государственным регулированием и поддержкой предпринимательства.

РАЗДЕЛ 1. ОБЩИЕ ПОЛОЖЕНИЯ
Глава 1. ПРАВОВЫЕ ОСНОВЫ ВЗАИМОДЕЙСТВИЯ СУБЪЕКТОВ
ПРЕДПРИНИМАТЕЛЬСТВА И ГОСУДАРСТВА

Статья 1. Законодательство Республики Казахстан в сфере предпринимательства

1. Законодательство Республики Казахстан в сфере предпринимательства основывается на Конституции Республики Казахстан и состоит из настоящего Кодекса и иных нормативных правовых актов Республики Казахстан.

2. Товарно-денежные и иные основанные на равенстве участников имущественные отношения, а также связанные с имущественными личные неимущественные отношения регулируются гражданским законодательством Республики Казахстан.

2-1. Положения настоящего Кодекса не распространяются на отношения, связанные с возвратом незаконно приобретенных активов, в том числе на создание и деятельность управляющей компании, в соответствии с законодательством Республики Казахстан о возврате государству незаконно приобретенных активов.

3. Если международным договором, ратифицированным Республикой Казахстан, установлены иные правила, чем те, которые предусмотрены настоящим Кодексом, то применяются правила международного договора.

4. В случае выявления пробелов или противоречий норм законодательства Республики Казахстан в сфере предпринимательства, содержащихся в нормативных правовых актах Республики Казахстан, положениям настоящего Кодекса применяются положения настоящего Кодекса.

5. Особенности осуществления отдельных видов предпринимательства устанавливаются законами Республики Казахстан.

Сноска. Статья 1 с изменениями, внесенными Законом РК от 12.07.2023 № 23-VIII(вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 2. Понятие предпринимательства и пределы его правового регулирования

1. Предпринимательством является самостоятельная, инициативная деятельность граждан, кандасов и юридических лиц, направленная на получение чистого дохода путем использования имущества, производства, продажи товаров, выполнения работ, оказания услуг, основанная на праве частной собственности (частное предпринимательство) либо на праве хозяйственного ведения или оперативного управления государственного предприятия (государственное предпринимательство). Предпринимательская деятельность осуществляется от имени, за риск и под имущественную ответственность предпринимателя.

2. Предпринимательская деятельность может быть ограничена исключительно законами Республики Казахстан.

3. Запрещается принятие государственными органами нормативных правовых актов, устанавливающих привилегированное положение отдельно взятых субъектов предпринимательства.

Статья 3. Цели и принципы взаимодействия субъектов предпринимательства и государства

1. Взаимодействие субъектов предпринимательства и государства направлено на создание благоприятных условий для развития предпринимательства и общества, стимулирование предпринимательской инициативы в Республике Казахстан.

2. Принципами взаимодействия субъектов предпринимательства и государства являются:

1) законность;

2) свобода предпринимательства;

3) равенство субъектов предпринимательства;

4) неприкосновенность собственности;

5) добросовестная конкуренция;

6) баланс интересов потребителей, субъектов предпринимательства и государства;

7) прозрачность деятельности государственных органов и доступность информации;

8) эффективность государственного регулирования предпринимательства;

9) повышение способности субъектов предпринимательства к самостоятельной защите своих прав и законных интересов;

10) приоритет предупреждения правонарушения;

11) презумпция добросовестности субъектов предпринимательства и взаимная ответственность государства и субъектов предпринимательства;

12) свобода от коррупции;

13) стимулирование предпринимательской деятельности и обеспечение ее защиты и поддержки;

14) поддержка отечественных производителей товаров, работ, услуг;

15) недопустимость незаконного вмешательства государства в дела субъектов предпринимательства;

16) участие субъектов частного предпринимательства в нормотворчестве;

17) стимулирование социальной ответственности предпринимательства;

18) ограниченное участие государства в предпринимательской деятельности;

Примечание РЦПИ!
Подпункт 19) вводится в действие после введения в действие законодательного акта о саморегулировании в соответствии с Кодексом РК от 29.10.2015 № 375-V.

19) саморегулирование.

Сноска. Статья 3 с изменением, внесенным Законом РК от 12.03.2021 № 15-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 4. Законность

1. Субъекты предпринимательства при осуществлении предпринимательской деятельности, государственные органы, должностные лица государственных органов при осуществлении государственного регулирования предпринимательства обязаны соблюдать требования Конституции Республики Казахстан, настоящего Кодекса и иных нормативных правовых актов Республики Казахстан.

2. Акты и решения государственных органов, противоречащие Конституции Республики Казахстан, признаются незаконными и недействительными с момента их принятия и подлежат отмене.

Акты и решения государственных органов, не соответствующие нормативным правовым актам Республики Казахстан по содержанию, оформлению и (или) процедурам их принятия, признаются незаконными и недействительными и подлежат отмене в порядке, установленном законами Республики Казахстан, за исключением случаев, когда право на доверие охраняется законами Республики Казахстан.

Сноска. Статья 4 с изменением, внесенным Законом РК от 29.06.2020 № 351-VI (вводится в действие с 01.07.2021).

Статья 5. Свобода предпринимательства

1. Каждый имеет право на свободу предпринимательской деятельности, свободное использование своего имущества для любой законной предпринимательской деятельности.

2. Субъекты предпринимательства вправе осуществлять любые виды предпринимательской деятельности, не запрещенные законами Республики Казахстан.

Статья 6. Равенство субъектов предпринимательства

1. Субъекты предпринимательства равны перед законом и судом независимо от их формы собственности и любых иных обстоятельств.

2. Субъекты предпринимательства имеют равные возможности при осуществлении предпринимательской деятельности.

Статья 7. Неприкосновенность собственности

1. Неприкосновенность собственности субъектов предпринимательства гарантируется законом.

2. Субъекты предпринимательства могут иметь в собственности любое законно приобретенное имущество.

3. Субъекты предпринимательства не могут быть лишены своего имущества, иначе как по решению суда. Принудительное отчуждение имущества для государственных нужд в исключительных случаях, предусмотренных законом, может быть произведено при условии равноценного его возмещения.

Статья 8. Добросовестная конкуренция

1. Деятельность, направленная на ограничение или устранение конкуренции, ущемление прав и законных интересов потребителей, недобросовестная конкуренция запрещаются.

Монополистическая деятельность регулируется и ограничивается законом.

2. Антимонопольное регулирование осуществляется в целях защиты конкуренции, создания условий для эффективного функционирования товарных рынков, обеспечения единства экономического пространства, свободного перемещения товаров и свободы экономической деятельности в Республике Казахстан.

Статья 9. Баланс интересов потребителей, субъектов предпринимательства и государства

1. Введение форм и средств государственного регулирования предпринимательства осуществляется в целях обеспечения достаточного уровня безопасности деятельности или действий (операций), максимально эффективной защиты прав потребителей при минимальной объективно необходимой нагрузке на субъектов предпринимательства.

В рамках государственного регулирования новые требования к субъектам частного предпринимательства могут вводиться только при условии преобладания выгод для потребителей, государства над издержками, связанными с осуществлением государственного регулирования.

2. Государственные органы при осуществлении государственного регулирования не вправе требовать от субъектов предпринимательства представления документов и (или) дополнительных сведений, не предусмотренных нормативными правовыми актами Республики Казахстан.

3. Квалификационные и разрешительные требования должны обеспечивать минимально необходимый набор ресурсов, нормативов и показателей, достаточных субъектам предпринимательства для обеспечения требуемого уровня безопасности осуществляемой деятельности, действий (операций) или безопасности объекта.

Сноска. Статья 9 с изменением, внесенным Законом РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 10. Прозрачность деятельности государственных органов и доступность информации

1. Деятельность государственных органов должна быть публичной и открытой в пределах, установленных законами Республики Казахстан.

2. Государственные органы обязаны обеспечивать прозрачность своей деятельности по принятию решений, затрагивающих интересы субъектов предпринимательства.

3. Информация, имеющаяся у государственных органов и необходимая субъектам предпринимательства, должна быть доступна, если ее использование не ограничено законами Республики Казахстан. Такая информация предоставляется бесплатно, за исключением случаев, установленных законами Республики Казахстан.

3-1. Субъекты частного предпринимательства могут иметь печать со своим наименованием.

Государственным органам и финансовым организациям запрещается истребовать печать на документах у юридических лиц, относящихся к субъектам частного предпринимательства.

4. Все процедуры и требования, связанные с государственным регулированием предпринимательства, должны содержать четкий и не подлежащий различному толкованию смысл.

5. Положения настоящей статьи, устанавливающие обязательства государственных органов, распространяются на уполномоченную организацию в сфере гражданской авиации.

Сноска. Статья 10 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 19.04.2019 № 249-VI (вводится в действие с 01.08.2019).

Статья 11. Эффективность государственного регулирования предпринимательства

Эффективность государственного регулирования предпринимательства достигается через:

1) соблюдение установленных в настоящем Кодексе условий формирования регуляторных инструментов, а также внедрение обязательных процедур обоснования, согласования и мониторинга государственного регулирования;

2) повышение доверия государства к субъектам предпринимательства;

3) системность и последовательность государственного регулирования, основанные на внедрении проектного управления в формирование регуляторной политики, преемственности и учете ранее принятых решений государственного регулирования предпринимательской деятельности;

4) введение персональной ответственности должностных лиц государственных органов за нанесение ущерба субъектам предпринимательства;

5) недопустимость создания барьеров для субъектов предпринимательства в результате введения новых требований.

Сноска. Статья 11 – в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 12. Повышение способности субъектов предпринимательства к самостоятельной защите своих прав и законных интересов

1. Субъекты предпринимательства вправе не допускать к проверке должностных лиц органов государственного контроля и надзора в случаях несоблюдения должностными лицами требований к проведению проверки, установленных настоящим Кодексом.

2. В целях защиты своих прав и законных интересов в ходе осуществления государственного контроля и надзора субъекты предпринимательства вправе привлекать третьих лиц к участию в проверке.

Статья 13. Приоритет предупреждения правонарушения

1. Профилактика правонарушений и мотивация субъекта предпринимательства исполнять требования, установленные законами Республики Казахстан, имеют приоритет перед применением мер государственного принуждения в процессе осуществления предпринимательской деятельности.

2. Меры государственного принуждения за совершенное субъектом предпринимательства правонарушение должны соответствовать его характеру и тяжести.

Статья 14. Презумпция добросовестности субъектов предпринимательства и взаимная ответственность государства и субъектов предпринимательства

Сноска. Заголовок статьи 14 в редакции Закона РК от 12.03.2021 № 15-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

1. Государство посредством выдачи разрешения подтверждает обеспечение лицензиатом, владельцем разрешения второй категории минимального уровня безопасности в соответствии с целями государственного регулирования.

2. В процессе государственного регулирования предпринимательства не должны создаваться препятствия к осуществлению законной деятельности субъектов предпринимательства со стороны государственных органов и их должностных лиц.

3. В процессе государственного регулирования предпринимательства при исполнении субъектами предпринимательства своих обязанностей или реализации предоставленных им по закону прав предполагается добросовестность их действий.

Субъект предпринимательства также считается добросовестным, если при реализации прав, законных интересов и (или) исполнении обязанностей он руководствовался официальным разъяснением государственного органа, данным в пределах его компетенции, закрепленной в соответствии с законодательством Республики Казахстан, в том числе, если такое разъяснение впоследствии было отозвано, признано ошибочным или дано новое, иное по смыслу разъяснение в отношении того же нормативного правового акта, содержание которого не изменилось.

Убытки, причиненные субъекту предпринимательства в результате издания не соответствующего законодательству Республики Казахстан акта государственного органа, а также действиями (бездействием) должностных лиц этих органов, подлежат возмещению в порядке, предусмотренном гражданским законодательством Республики Казахстан.

4. Нарушение законодательства Республики Казахстан, допущенное субъектом предпринимательства, должно быть описано в ходе проведения проверок. Обоснование доводов и раскрытие обстоятельств, свидетельствующих о факте нарушения законодательства Республики Казахстан, возлагаются на государственные органы.

Представленные субъектами предпринимательства фактические данные о рассматриваемых государственным органом обстоятельствах считаются достоверными до тех пор, пока суд или государственный орган не установит обратное в соответствии с законодательством Республики Казахстан.

Все неопределенности законодательства Республики Казахстан толкуются в пользу субъекта предпринимательства.

5. Запрещается использование предоставленных настоящим Кодексом и иными нормативными правовыми актами прав в противоречии с их назначением с целью ущемления прав и законных интересов других субъектов предпринимательства или уклонения от исполнения существующих обязанностей или юридической ответственности за фактически совершенные правонарушения.

6. Положения настоящей статьи, устанавливающие обязательства государственных органов, распространяются на уполномоченную организацию в сфере гражданской авиации.

Сноска. Статья 14 с изменениями, внесенными законами РК от 19.04.2019 № 249-VI (вводится в действие с 01.08.2019); от 12.03.2021 № 15-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 15. Свобода от коррупции

1. При введении и осуществлении государственного регулирования предпринимательства должны исключаться факты конфликта интересов и избирательного применения права.

2. В целях ограничения контактов субъектов предпринимательства с государственными органами в процессе государственного регулирования предпринимательства в нормативных правовых актах должно быть предусмотрено применение принципа "одного окна", при котором все необходимые согласования от государственных органов должны получаться самими государственными органами в порядке межведомственного взаимодействия.

3. Не допускается злоупотребление служебными полномочиями лицами, уполномоченными на выполнение государственных функций, и лицами, приравненными к ним, осуществляющими регулирование предпринимательской деятельности, в целях принятия имущественных благ и преимуществ.

Статья 16. Стимулирование предпринимательской деятельности и обеспечение ее защиты и поддержки

1. В целях стимулирования развития субъектов предпринимательства государством проводится комплекс мер, направленных на создание благоприятных правовых, экономических, социальных условий и гарантий для реализации предпринимательской инициативы.

2. Стимулирование предпринимательской деятельности осуществляется, в том числе, посредством обеспечения защиты и поддержки предпринимательства.

Статья 17. Поддержка отечественных производителей товаров, работ, услуг

1. Государственными органами и иными организациями реализуются меры по созданию благоприятных условий для стимулирования развития отечественного производства товаров, работ, услуг.

2. При разработке и экспертизе проектов нормативных правовых актов, заключении международных договоров Республики Казахстан и участии в принятии решений международных организаций в целях повышения конкурентоспособности отечественных товаров, работ, услуг учитываются национальные интересы Республики Казахстан.

Статья 18. Недопустимость незаконного вмешательства государства в дела субъектов предпринимательства

Не допускаются незаконное вмешательство государства в дела субъектов предпринимательства, их объединений, а также указанных объединений в дела государства и возложение на них функций государственных органов.

Примечание ИЗПИ!
В статью 19 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 19. Участие субъектов частного предпринимательства в нормотворчестве

Субъекты частного предпринимательства участвуют в разработке и экспертизе проектов нормативных правовых актов, проектов международных договоров Республики Казахстан, а также международных договоров, участницей которых намеревается стать Республика Казахстан, затрагивающих интересы субъектов предпринимательства, через Национальную палату предпринимателей Республики Казахстан и экспертные советы по вопросам частного предпринимательства (далее – экспертные советы).

Сноска. Статья 19 в редакции Закона РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 20. Стимулирование социальной ответственности предпринимательства и развития социального предпринимательства

Государством гарантируется и поощряется внедрение субъектами предпринимательства в своей деятельности социальной ответственности.

Поддержку инициатив развития социального предпринимательства осуществляют государственные органы, национальные холдинги, национальные институты развития и иные организации в порядке, определяемом уполномоченным органом по предпринимательству.

Сноска. Статья 20 с изменениями, внесенными законами РК от 24.06.2021 № 52-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 21. Ограниченное участие государства в предпринимательской деятельности

1. Государство участвует в предпринимательской деятельности в пределах, ограниченных настоящим Кодексом и законами Республики Казахстан.

2. В целях развития частного предпринимательства и конкуренции государством принимаются меры, направленные на сокращение доли участия государства в предпринимательской деятельности путем ограничения создания государственных юридических лиц в сфере предпринимательства, юридических лиц с участием государства в уставном капитале.

Примечание РЦПИ!
Статья 22 вводится в действие после введения в действие законодательного акта о саморегулировании в соответствии с Кодексом РК от 29.10.2015 № 375-V.

Статья 22. Саморегулирование

Государством создаются условия для развития саморегулирования в предпринимательской и профессиональной деятельности посредством сокращения сферы государственного регулирования исходя из минимальной необходимости в нем, а также иных мер стимулирования, определенных законодательством Республики Казахстан.

Сноска. Статья 22 с изменением, внесенным Законом РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 2. СУБЪЕКТЫ ПРЕДПРИНИМАТЕЛЬСТВА И УСЛОВИЯ ИХ
ФУНКЦИОНИРОВАНИЯ
Параграф 1. Общие положения о субъектах предпринимательства

Статья 23. Субъекты предпринимательства

1. Субъектами предпринимательства являются граждане, кандасы и негосударственные коммерческие юридические лица, осуществляющие предпринимательскую деятельность (субъекты частного предпринимательства), государственные предприятия (субъекты государственного предпринимательства).

2. Физическое лицо, являющееся субъектом предпринимательства, регистрируется в качестве индивидуального предпринимателя в порядке, предусмотренном настоящим Кодексом.

3. Юридическое лицо, являющееся субъектом предпринимательства, может быть создано в организационно-правовой форме, предусмотренной Гражданским кодексом Республики Казахстан.

Статья 24. Категории субъектов предпринимательства

1. В зависимости от среднегодовой численности работников и среднегодового дохода субъекты предпринимательства относятся к следующим категориям:

субъекты малого предпринимательства, в том числе субъекты микропредпринимательства;

субъекты среднего предпринимательства;

субъекты крупного предпринимательства.

2. Отнесение субъектов предпринимательства к категориям, указанным в пункте 1 настоящей статьи, используется для целей:

государственной статистики;

оказания государственной поддержки;

применения иных норм законодательства Республики Казахстан.

Для целей государственной статистики используется только критерий среднегодовой численности работников.

Для целей оказания государственной поддержки и применения иных норм законодательства Республики Казахстан используются два критерия: среднегодовая численность работников и среднегодовой доход.

Для целей оказания государственной поддержки и применения иных норм законодательства Республики Казахстан среднегодовая численность работников субъектов предпринимательства, использующих труд работников направляющей стороны в соответствии с договором на оказание услуг по предоставлению персонала, определяется с учетом работников направляющей стороны.

Среднегодовая численность работников субъектов предпринимательства определяется с учетом всех работников, включая работников филиалов, представительств и других обособленных подразделений данного субъекта, а также самого индивидуального предпринимателя.

Среднегодовым доходом считается сумма совокупных годовых доходов или доходов субъектов предпринимательства, применяющих в соответствии с налоговым законодательством Республики Казахстан специальный налоговый режим на основе патента, упрощенной декларации или с использованием специального мобильного приложения, за последние три года, поделенная на три.

Программами государственной поддержки субъектов частного предпринимательства могут предусматриваться иные критерии.

3. Субъектами малого предпринимательства являются индивидуальные предприниматели без образования юридического лица и юридические лица, осуществляющие предпринимательство, со среднегодовой численностью работников не более ста человек и среднегодовым доходом не свыше трехсоттысячекратного месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на 1 января соответствующего финансового года.

Субъектами микропредпринимательства являются субъекты малого предпринимательства, осуществляющие частное предпринимательство, со среднегодовой численностью работников не более пятнадцати человек или среднегодовым доходом не свыше тридцатитысячекратного месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на 1 января соответствующего финансового года.

4. Для целей государственной поддержки и применения иных норм законодательства Республики Казахстан субъектами малого предпринимательства, в том числе микропредпринимательства, не могут быть признаны индивидуальные предприниматели и юридические лица, осуществляющие:

1) деятельность, связанную с оборотом наркотических средств, психотропных веществ и прекурсоров;

2) производство и (или) оптовую реализацию подакцизной продукции;

3) деятельность по хранению зерна на хлебоприемных пунктах;

4) проведение лотереи;

5) деятельность в сфере игорного бизнеса;

6) деятельность, связанную с оборотом радиоактивных материалов;

7) банковскую деятельность (либо отдельные виды банковских операций) и деятельность на страховом рынке (кроме деятельности страхового агента);

8) аудиторскую деятельность;

9) профессиональную деятельность на рынке ценных бумаг;

10) деятельность кредитных бюро;

11) охранную деятельность;

12) деятельность, связанную с оборотом гражданского и служебного оружия и патронов к нему.

13) деятельность по цифровому майнингу I подвида.

Индивидуальные предприниматели и юридические лица, осуществляющие деятельность, указанную в настоящем пункте, относятся к субъектам среднего предпринимательства, а в случае соответствия критериям, установленным пунктом 6 настоящей статьи, – к субъектам крупного предпринимательства.

Для субъектов частного предпринимательства, в соответствии с налоговым законодательством Республики Казахстан являющихся плательщиками налога на игорный бизнес, фиксированного налога и единого земельного налога, используется критерий по численности работников.

5. Субъектами среднего предпринимательства являются индивидуальные предприниматели и юридические лица, осуществляющие предпринимательство, не относящиеся к субъектам малого и крупного предпринимательства в соответствии с пунктами 3 и 6 настоящей статьи.

6. Субъектами крупного предпринимательства являются индивидуальные предприниматели и юридические лица, осуществляющие предпринимательство и отвечающие одному или двум из следующих критериев: среднегодовая численность работников более двухсот пятидесяти человек и (или) среднегодовой доход свыше трехмиллионнократного месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на 1 января соответствующего финансового года.

Сноска. Статья 24 с изменениями, внесенными законами РК от 19.12.2020 № 386-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 24.06.2021 № 52-VII (вводится в действие с 01.01.2022); от 06.02.2023 № 194-VII (вводится в действие с 01.04.2023).

Статья 25. Реестр субъектов предпринимательства

1. Для использования данных о категориях субъектов предпринимательства уполномоченный орган по предпринимательству ведет реестр субъектов предпринимательства.

2. Реестром субъектов предпринимательства является электронная база данных, содержащая сведения о категориях субъектов предпринимательства.

Примечание ИЗПИ!
В пункт 3 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3. Информация о категории субъектов предпринимательства предоставляется в форме электронной справки заинтересованным лицам, в том числе государственным органам, для использования в работе.

4. Исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Сноска. Статья 25 с изменением, внесенным Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 25-1. Реестр бизнес-партнеров

1. Для предоставления субъектам предпринимательства и иным лицам информации о благонадежности и добросовестности бизнес-партнеров Национальная палата предпринимателей Республики Казахстан создает и ведет реестр бизнес-партнеров.

2. Реестром бизнес-партнеров является информационная система, интегрированная с объектами информатизации государственных органов и организаций, содержащая сведения о субъектах предпринимательства, не составляющие охраняемую законами тайну.

Сбор, обработка и защита персональных данных субъектов предпринимательства, содержащихся в реестре бизнес-партнеров, осуществляются в соответствии с законодательством Республики Казахстан о персональных данных и их защите.

3. Государственные органы и организации обеспечивают интеграцию объектов информатизации с реестром бизнес-партнеров.

Порядок интеграции объектов информатизации государственных органов и организаций с реестром бизнес-партнеров определяется законодательством Республики Казахстан об информатизации.

4. Исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Сноска. Закон дополнен статьей 25-1 в соответствии с Законом РК от 02.01.2021 № 399-VI (вводится в действие с 01.07.2021); с изменениями, внесенными Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 26. Права субъектов предпринимательства

1. Субъекты частного предпринимательства вправе:

1) осуществлять любые виды предпринимательской деятельности, иметь свободу доступа на рынки товаров, работ и услуг, если иное не установлено законами Республики Казахстан;

2) осуществлять предпринимательство с использованием наемного труда в соответствии с законами Республики Казахстан;

3) создавать филиалы и представительства в порядке, предусмотренном законами Республики Казахстан;

4) самостоятельно устанавливать цены на производимые товары, работы, услуги, за исключением случаев, установленных настоящим Кодексом и законами Республики Казахстан;

5) самостоятельно осуществлять контроль за качеством товаров, работ и услуг;

6) осуществлять внешнеэкономическую деятельность в пределах своей правоспособности;

7) учреждать объединения субъектов предпринимательства и участвовать в них;

8) участвовать в работе экспертных советов через аккредитованные объединения субъектов частного предпринимательства, Национальную палату предпринимателей Республики Казахстан;

9) обращаться в правоохранительные и иные государственные органы по вопросам привлечения к ответственности лиц, нарушивших права и (или) воспрепятствовавших реализации законных интересов субъектов предпринимательства;

10) обращаться в суд, арбитраж, к Уполномоченному по защите прав предпринимателей Казахстана и в иные органы для защиты своих прав и законных интересов;

11) урегулировать спор посредством примирительных процедур;

12) вносить для рассмотрения в уполномоченный орган по предпринимательству предложения об устранении причин и условий, способствующих неисполнению или ненадлежащему исполнению нормативных правовых актов по вопросам поддержки и защиты предпринимательства;

13) участвовать в реализации проектов в социальной, экономической и экологической сферах в качестве мер социальной ответственности предпринимательства;

14) осуществлять иные права, не ограниченные законами Республики Казахстан.

2. Государственные предприятия осуществляют права, предусмотренные настоящим Кодексом, с учетом особенностей, установленных законами Республики Казахстан.

Статья 27. Обязанности субъектов предпринимательства

Субъекты предпринимательства обязаны:

1) соблюдать законодательство Республики Казахстан, права и законные интересы физических и юридических лиц;

2) обеспечивать безопасность и качество товаров, работ, услуг в соответствии с требованиями законодательства Республики Казахстан;

3) предоставлять потребителям товаров, работ, услуг полную и достоверную информацию о товарах, работах, услугах;

3-1) обеспечивать использование текущего банковского счета, предназначенного для осуществления предпринимательской деятельности, при приеме безналичных платежей на банковский счет за реализацию товаров, выполнение работ, оказание услуг;

4) получать разрешения либо направлять уведомления для начала осуществления деятельности или действия (операции) в соответствии с Законом Республики Казахстан "О разрешениях и уведомлениях";

5) осуществлять обязательное страхование гражданско-правовой ответственности в случаях, предусмотренных законами Республики Казахстан;

6) сохранять природу и бережно относиться к природным богатствам;

7) повышать эффективность использования природных и энергетических ресурсов и управления ими в процессе осуществления деятельности;

8) выполнять иные обязанности, предусмотренные настоящим Кодексом и иными законами Республики Казахстан.

Сноска. Статья 27 с изменением, внесенным Законом РК от 31.12.2021 № 100 (вводится в действие с 01.03.2022).

Статья 28. Охрана информации, составляющей коммерческую тайну

1. Охрана коммерческой тайны заключается в запрете незаконного получения, распространения либо использования информации, составляющей коммерческую тайну в соответствии с настоящим Кодексом и законодательством Республики Казахстан.

2. Субъект предпринимательства определяет круг лиц, имеющих право свободного доступа к информации, составляющей коммерческую тайну, и принимает меры к охране ее конфиденциальности.

3. Порядок отнесения информации к категориям доступа, условия хранения и использования информации, составляющей коммерческую тайну, определяются субъектом предпринимательства.

4. Принимаемые субъектом предпринимательства меры по охране информации, составляющей коммерческую тайну, могут включать в себя:

1) определение перечня информации, составляющей коммерческую тайну;

2) ограничение доступа к коммерческой тайне путем установления порядка обращения с этой информацией и контроля за соблюдением такого порядка;

3) учет лиц, получивших доступ к коммерческой тайне, и (или) лиц, которым эта информация была предоставлена или передана.

5. Лица, незаконными методами получившие, раскрывшие и (или) использовавшие информацию, составляющую коммерческую тайну, обязаны возместить причиненный ущерб в соответствии с гражданским законодательством Республики Казахстан.

6. Субъект предпринимательства или лицо, им уполномоченное, вправе требовать у своих работников подписку о неразглашении информации, составляющей коммерческую тайну, а лиц, осуществляющих его проверку, предупреждать об ответственности в соответствии с законами Республики Казахстан.

7. Перечень информации, подлежащей обязательному опубликованию либо обязательному доведению до сведения акционеров акционерного общества, участников хозяйственного товарищества, членов производственного кооператива или иного определенного круга лиц, устанавливается законами Республики Казахстан и учредительными документами субъекта предпринимательства.

8. Информация, составляющая коммерческую тайну, не может быть разглашена без согласия субъекта предпринимательства, за исключением информации, по которой имеется вступившее в законную силу решение суда, или иных случаев, установленных настоящим Кодексом.

9. Государственные органы и их должностные лица без согласия субъекта предпринимательства не вправе распространять и (или) использовать ставшую известной им в силу выполнения должностных (служебных) обязанностей информацию, составляющую коммерческую тайну, за исключением случаев, предусмотренных законами Республики Казахстан.

10. Субъект предпринимательства вправе не предоставлять государственным органам и должностным лицам при выполнении регистрационных, контрольных и надзорных функций и совершении других действий доступ к информации, составляющей коммерческую тайну, кроме той, которая необходима для реализации возложенных на них функций.

10-1. Субъект предпринимательства, владеющий на праве собственности или другом законном основании критически важным объектом информационно-коммуникационной инфраструктуры, передает резервную копию электронного информационного ресурса на единую платформу резервного хранения электронных информационных ресурсов в порядке, определенном законодательством Республики Казахстан, с учетом требований законодательства Республики Казахстан о национальной безопасности.

10-2. Субъект квазигосударственного сектора передает оператору информационно- коммуникационной инфраструктуры "электронного правительства" обезличенные данные, необходимые для осуществления аналитики данных в целях реализации государственными органами деятельности в соответствии с требованиями по управлению данными, утвержденными уполномоченным органом по управлению данными.

11. Государственные органы и их должностные лица несут установленную законами Республики Казахстан ответственность за незаконное распространение и (или) использование информации, составляющей коммерческую тайну, а ущерб, причиненный субъекту предпринимательства в результате такого распространения и (или) использования, подлежит возмещению в соответствии с гражданским законодательством Республики Казахстан.

12. Обобщенная информация, не раскрывающая сведений о деятельности конкретного субъекта предпринимательства, является общедоступной.

13. К общедоступной информации субъекта предпринимательства относятся:

1) фамилия, имя, отчество (если оно указано в документе, удостоверяющем личность) или наименование индивидуального предпринимателя;

2) наименование и дата регистрации юридического лица;

3) идентификационный номер;

4) юридический адрес (место нахождения);

5) вид деятельности;

6) фамилия, имя, отчество (если оно указано в документе, удостоверяющем личность) руководителя.

7) информация по проводимым государственным закупкам и закупкам субъектов квазигосударственного сектора, за исключением организаций, входящих в структуру Национального Банка Республики Казахстан, и юридических лиц, пятьдесят и более процентов голосующих акций (долей участия в уставном капитале) которых принадлежат Национальному Банку Республики Казахстан или находятся в его доверительном управлении, в том числе сведения о планах, объявлениях, участниках, итогах, заключенных договорах, исполнении договорных обязательств и оплате, а также информация по местному содержанию, за исключением сведений, составляющих государственные секреты в соответствии с законодательством Республики Казахстан о государственных секретах и (или) содержащих служебную информацию ограниченного распространения, определенную Правительством Республики Казахстан.

Сноска. Статья 28 с изменениями, внесенными законами РК от 28.12.2017 № 128-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 25.06.2020 № 347-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 15.11.2021 № 72-VII (вводится в действие с 01.01.2022); от 14.07.2022 № 141-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 29. Первичные статистические и административные данные

1. Первичные статистические данные представляются субъектами предпринимательства в соответствии с законодательством Республики Казахстан в области государственной статистики.

Использование первичных статистических данных государственными органами и Национальным Банком Республики Казахстан в отношении субъекта предпринимательства, в том числе при осуществлении ими контрольных и надзорных функций, не допускается.

2. Формы, предназначенные для сбора административных данных, а также методики расчета показателей, должны быть согласованы с уполномоченным органом в области государственной статистики в порядке, установленном законодательством Республики Казахстан.

Параграф 2. Субъекты индивидуального предпринимательства

Статья 30. Понятие и виды индивидуального предпринимательства

1. Индивидуальным предпринимательством является самостоятельная, инициативная деятельность граждан Республики Казахстан, кандасов, направленная на получение чистого дохода, основанная на собственности самих физических лиц и осуществляемая от имени физических лиц, за их риск и под их имущественную ответственность.

Иным физическим лицам запрещается осуществлять индивидуальное предпринимательство.

2. Индивидуальное предпринимательство осуществляется в виде личного или совместного предпринимательства.

Статья 31. Личное предпринимательство

1. Личное предпринимательство осуществляется одним физическим лицом самостоятельно на базе имущества, принадлежащего ему на праве собственности, а также в силу иного права, допускающего пользование и (или) распоряжение имуществом.

2. Для осуществления личного предпринимательства физическим лицом, состоящим в браке, согласие супруга не требуется.

3. В случаях, когда для осуществления личного предпринимательства физическое лицо использует общее имущество супругов, необходимо нотариально удостоверенное согласие другого супруга на такое использование, если иное не предусмотрено законами или брачным договором либо иным соглашением между супругами.

4. Личное предпринимательство может осуществляться с использованием формы фермерского хозяйства.

Статья 32. Совместное предпринимательство

1. Совместное предпринимательство осуществляется группой физических лиц (индивидуальных предпринимателей) на базе имущества, принадлежащего им на праве общей собственности, а также в силу иного права, допускающего совместное пользование и (или) распоряжение имуществом.

2. При совместном предпринимательстве все сделки, связанные с частным предпринимательством, совершаются, а права и обязанности приобретаются и осуществляются от имени всех участников совместного предпринимательства.

3. Формами совместного предпринимательства являются:

1) предпринимательство супругов, осуществляемое на базе общей совместной собственности супругов;

2) семейное предпринимательство, осуществляемое на базе общей совместной собственности крестьянского хозяйства или общей совместной собственности на приватизированное жилище;

3) простое товарищество, при котором частное предпринимательство осуществляется на базе общей долевой собственности;

4) иные формы в соответствии с законами Республики Казахстан.

4. При осуществлении предпринимательства супругов в деловом обороте от имени супругов выступает один из супругов с согласия другого супруга, которое может быть подтверждено при регистрации индивидуального предпринимателя или выражено письменно и нотариально удостоверено в случаях, когда деятельность индивидуального предпринимателя осуществляется без государственной регистрации.

При отсутствии согласия одного из супругов на выступление другого супруга в деловом обороте от их имени предполагается, что супруг, выступающий в деловом обороте, осуществляет индивидуальное предпринимательство в виде личного предпринимательства.

5. Индивидуальное предпринимательство с использованием формы простого товарищества осуществляется в соответствии с гражданским законодательством Республики Казахстан.

Статья 33. Осуществление деятельности индивидуального предпринимателя под своим именем

1. Индивидуальный предприниматель занимается предпринимательской деятельностью, приобретает и осуществляет права и обязанности под своим именем.

2. Гражданин, кандас при совершении сделок, связанных с его предпринимательской деятельностью, должен указывать, что он действует в качестве индивидуального предпринимателя.

3. Отсутствие такого указания не освобождает индивидуального предпринимателя от риска и ответственности, которые несет индивидуальный предприниматель по своим обязательствам.

4. При осуществлении своей деятельности индивидуальный предприниматель вправе использовать персональные бланки деловой документации, печать, штампы, тексты которых должны со всей определенностью свидетельствовать о том, что данное лицо является индивидуальным предпринимателем.

Статья 34. Социальная защита индивидуального предпринимателя

Индивидуальный предприниматель имеет право пользоваться системой социального и пенсионного обеспечения, социального страхования в соответствии с законодательством Республики Казахстан о социальной защите.

Сноска. Статья 34 с изменением, внесенным Законом РК от 20.04.2023 № 226-VII (вводится в действие с 01.07.2023).

Статья 35. Государственная регистрация индивидуальных предпринимателей

1. Государственная регистрация физических лиц, осуществляющих частное предпринимательство без образования юридического лица, заключается в постановке на учет в качестве индивидуального предпринимателя в органе государственных доходов по месту нахождения, заявленному при государственной регистрации в качестве индивидуального предпринимателя.

2. Обязательной государственной регистрации в качестве индивидуального предпринимателя подлежат физические лица, которые отвечают одному из следующих условий:

1) используют труд наемных работников на постоянной основе;

2) имеют от частного предпринимательства годовой доход, исчисленный в соответствии с налоговым законодательством Республики Казахстан, в размере, превышающем 12-кратный минимальный размер заработной платы, установленный законом о республиканском бюджете и действующий на 1 января соответствующего финансового года.

3. Физическое лицо, не использующее труд работников на постоянной основе, вправе не регистрироваться в качестве индивидуального предпринимателя при получении следующих доходов, установленных Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс):

1) доходов, подлежащих налогообложению у источника выплаты;

2) имущественного дохода;

3) доходов из источников за пределами Республики Казахстан;

4) доходов домашних работников в соответствии с трудовым законодательством Республики Казахстан, получающих доходы от лиц, не являющихся налоговыми агентами;

5) доходов граждан Республики Казахстан по трудовым договорам (контрактам) и (или) договорам гражданско-правового характера, заключенным с дипломатическими и приравненными к ним представительствами иностранного государства, консульскими учреждениями иностранного государства, аккредитованными в Республике Казахстан, не являющимися налоговыми агентами;

6) доходов граждан Республики Казахстан по трудовым договорам (контрактам) и (или) договорам гражданско-правового характера, заключенным с международными и государственными организациями, зарубежными и казахстанскими неправительственными общественными организациями и фондами, освобожденными от обязательства по исчислению, удержанию и перечислению индивидуального подоходного налога у источника выплаты в соответствии с международными договорами, ратифицированными Республикой Казахстан;

7) доходов трудовых иммигрантов-резидентов, полученных (подлежащих получению) по трудовым договорам, заключенным в соответствии с трудовым законодательством Республики Казахстан на основании разрешения трудовому иммигранту;

8) доходов медиаторов, за исключением профессиональных медиаторов в соответствии с Законом Республики Казахстан "О медиации", полученных от лиц, не являющихся налоговыми агентами;

9) доходов от личного подсобного хозяйства, учтенного в книге похозяйственного учета в соответствии с законодательством Республики Казахстан, подлежащих налогообложению, по которым не было произведено удержание индивидуального подоходного налога у источника выплаты в связи с представлением налоговому агенту недостоверных сведений лицом, занимающимся личным подсобным хозяйством.

В целях применения настоящего пункта налоговым агентом признается лицо, определенное налоговым законодательством Республики Казахстан.

4. Действовал до 01.01.2024 в соответствии с Законом РК от 26.12.2018 № 203-VI.
Сноска. Статья 35 в редакции Закона РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018); с изменениями, внесенными Законом РК от 26.12.2018 № 203-VI (порядок введения в действие см. ст. 2).

Статья 36. Порядок государственной регистрации индивидуальных предпринимателей

1. Для государственной регистрации в качестве индивидуального предпринимателя (совместного индивидуального предпринимательства) физическое лицо (уполномоченное лицо совместного индивидуального предпринимательства) представляет через государственную информационную систему разрешений и уведомлений либо посредством иных объектов информатизации уведомление по форме, утвержденной уполномоченным органом в сфере разрешений и уведомлений.

В случае регистрации совместного индивидуального предпринимательства уполномоченное лицо совместного индивидуального предпринимательства предоставляет доверенность, подписанную от имени всех участников совместного предпринимательства.

В случае, если заявитель не достиг совершеннолетнего возраста, к уведомлению прилагается согласие законных представителей, а при отсутствии такого согласия – копия свидетельства о заключении брака (супружества) либо решение органа опеки и попечительства или решение суда об объявлении несовершеннолетнего полностью дееспособным.

Истребование иных документов запрещается.

2. Лица, включенные в перечень организаций и лиц, связанных с финансированием распространения оружия массового уничтожения, и (или) в перечень организаций и лиц, связанных с финансированием терроризма и экстремизма, в соответствии с законодательством Республики Казахстан не вправе подавать уведомление.

3. Орган государственных доходов в течение одного рабочего дня со дня представления физическим лицом документов, указанных в пункте 1 настоящей статьи, за исключением случаев представления уведомлений лицами, указанными в пункте 2 настоящей статьи, производит государственную регистрацию индивидуального предпринимателя (совместного индивидуального предпринимательства).

4. При изменении данных, указанных в уведомлении, индивидуальный предприниматель (уполномоченное лицо совместного индивидуального предпринимательства) обязан (обязано) сообщить о таких изменениях в орган государственных доходов по форме, установленной этим органом.

5. Уведомление представляется в электронной форме посредством веб-портала "электронного правительства" или иных объектов информатизации.

Сноска. Статья 36 - в редакции Закона РК от 29.03.2016 № 479-V (вводится в действие c 01.01.2017); с изменениями, внесенными законами РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018); от 13.05.2020 № 325-VІ (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 14.07.2022 № 141-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 37. Свидетельство о государственной регистрации индивидуального предпринимателя

Сноска. Статья 37 исключена Законом РК от 29.03.2016 № 479-V (вводится в действие c 01.01.2017).

Статья 38. Прекращение деятельности индивидуального предпринимателя

1. Деятельность индивидуального предпринимателя может быть прекращена в добровольном либо принудительном порядке, а также в случае наступления обстоятельств, предусмотренных настоящим Кодексом.

В добровольном порядке деятельность индивидуального предпринимателя прекращается в любое время на основании решения, принятого самостоятельно индивидуальным предпринимателем при личном предпринимательстве, всеми участниками совместно – при совместном предпринимательстве. В этом случае индивидуальный предприниматель представляет в орган государственных доходов заявление о прекращении предпринимательской деятельности.

Для добровольного прекращения деятельности индивидуальный предприниматель представляет в орган государственных доходов заявление о прекращении предпринимательской деятельности.

Решение о прекращении совместного предпринимательства считается принятым, если за него проголосовало не менее половины его участников, если иное не предусмотрено соглашением между ними.

2. В принудительном порядке деятельность индивидуального предпринимателя прекращается по решению суда в случаях:

1) исключен Законом РК от 27.12.2019 № 290-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

2) признания недействительной регистрации индивидуального предпринимателя в связи с допущенными при регистрации нарушениями законодательства Республики Казахстан, которые носят неустранимый характер;

3) осуществления деятельности с неоднократными в течение календарного года или грубыми нарушениями законодательства Республики Казахстан;

4) объявления его умершим;

5) включения его в перечень организаций и лиц, связанных с финансированием распространения оружия массового уничтожения, и (или) в перечень организаций и лиц, связанных с финансированием терроризма и экстремизма, в соответствии с законодательством Республики Казахстан;

6) признания его безвестно отсутствующим;

7) установленных Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс), предусматривающих прекращение деятельности в принудительном порядке.

3. Деятельность индивидуального предпринимателя, помимо оснований, предусмотренных настоящей статьей, прекращается также в следующих случаях:

1) личного предпринимательства при признании индивидуального предпринимателя недееспособным, ограниченно дееспособным или его смерти;

2) семейного предпринимательства и простого товарищества, если в результате наступления обстоятельств, перечисленных в подпункте 1) настоящего пункта, остался один или не осталось ни одного участника совместного предпринимательства, а также при разделе имущества в связи с расторжением брака;

3) установленных налоговым законодательством Республики Казахстан, предусматривающих прекращение деятельности в упрощенном порядке;

4) вступления в законную силу определения суда о завершении процедуры банкротства в отношении индивидуального предпринимателя, признанного банкротом по решению суда.

4. Деятельность индивидуального предпринимателя считается прекращенной с момента снятия с регистрационного учета в качестве индивидуального предпринимателя в органе государственных доходов на основании его заявления либо решения суда, вступившего в законную силу, а также в случаях, установленных пунктом 3 настоящей статьи.

Индивидуальный предприниматель признается снятым с регистрационного учета в качестве индивидуального предпринимателя в регистрирующем органе со дня размещения этой информации на интернет-ресурсе уполномоченного органа, осуществляющего руководство в сфере обеспечения поступления налогов и других обязательных платежей в бюджет.

5. При осуществлении индивидуального предпринимательства без регистрации в установленных случаях оно считается прекращенным с даты его фактического прекращения в добровольном порядке либо соответственно с даты вступления в законную силу решения суда – при принудительном порядке.

6. Для субъектов малого предпринимательства, не имеющих неисполненных обязательств и отнесенных государственными органами к категории субъектов с низкой и средней степенями риска, законами Республики Казахстан устанавливается упрощенный порядок реорганизации и добровольной ликвидации.

Сноска. Статья 38 с изменениями, внесенными законами РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018); от 27.12.2019 № 290-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 13.05.2020 № 325-VІ (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 39. Банкротство индивидуального предпринимателя

Процедура банкротства индивидуального предпринимателя осуществляется в порядке, установленном законодательством Республики Казахстан о реабилитации и банкротстве.

Статья 40. Обращение взыскания по долгам индивидуальных предпринимателей на их имущество

1. Индивидуальные предприниматели несут ответственность по своим обязательствам всем своим имуществом, за исключением имущества, на которое взыскание не может быть обращено в соответствии с законами Республики Казахстан.

2. При осуществлении личного предпринимательства физическое лицо несет ответственность всем своим имуществом, в том числе долей в общей собственности супругов, за исключением имущества, на которое взыскание не может быть обращено в соответствии с законами Республики Казахстан.

Статья 41. Понятие и формы крестьянского или фермерского хозяйства

1. Крестьянским или фермерским хозяйством признается трудовое объединение лиц, в котором осуществление индивидуального предпринимательства неразрывно связано с использованием земель сельскохозяйственного назначения для производства сельскохозяйственной продукции, а также переработкой и сбытом этой продукции.

2. Крестьянское или фермерское хозяйство может выступать в формах:

1) крестьянского хозяйства, в котором предпринимательская деятельность осуществляется в форме семейного предпринимательства, основанного на базе общей совместной собственности;

2) фермерского хозяйства, основанного на осуществлении личного предпринимательства;

3) фермерского хозяйства, организованного в форме простого товарищества на базе общей долевой собственности на основе договора о совместной деятельности.

Статья 42. Глава и члены крестьянского или фермерского хозяйства

1. Главой крестьянского или фермерского хозяйства может быть дееспособный гражданин Республики Казахстан, кандас, достигший восемнадцати лет.

2. Членами крестьянского или фермерского хозяйства являются супруги, близкие родственники (родители (родитель), дети, усыновители (удочерители), усыновленные (удочеренные), полнородные и неполнородные братья и сестры, дедушки, бабушки, внуки) и другие лица, совместно ведущие общее хозяйство.

Статья 43. Права и обязанности главы и членов крестьянского или фермерского хозяйства

1. Глава крестьянского или фермерского хозяйства вправе:

1) представлять интересы крестьянского или фермерского хозяйства в отношениях с физическими и юридическими лицами;

2) осуществлять гражданско-правовые сделки, не запрещенные законами Республики Казахстан;

3) уполномочить кого-либо из членов хозяйства исполнять свои функции в случае длительного отсутствия;

4) определять основные направления деятельности крестьянского или фермерского хозяйства;

5) утверждать внутренние правила, процедуры их принятия и другие документы, регулирующие внутреннюю деятельность крестьянского или фермерского хозяйства;

6) выносить на рассмотрение общего собрания членов крестьянского или фермерского хозяйства вопрос об участии крестьянского или фермерского хозяйства в создании и деятельности юридических лиц;

7) осуществлять иные права, предусмотренные настоящим Кодексом и законами Республики Казахстан.

2. Глава крестьянского или фермерского хозяйства обязан:

1) организовывать ведение учета и отчетности крестьянского или фермерского хозяйства;

2) выполнять в пределах своей компетенции решения общего собрания членов крестьянского или фермерского хозяйства, не противоречащие законодательству Республики Казахстан;

3) создавать условия труда для членов крестьянского или фермерского хозяйства;

4) при принятии наемных работников заключать трудовые договоры, издавать акты работодателя в соответствии с трудовым законодательством Республики Казахстан;

5) осуществлять иные обязанности, предусмотренные настоящим Кодексом и законами Республики Казахстан.

3. Члены крестьянского или фермерского хозяйства вправе:

1) добровольно выходить из крестьянского или фермерского хозяйства в порядке, определяемом общим собранием членов крестьянского или фермерского хозяйства;

2) получать информацию о деятельности крестьянского или фермерского хозяйства, в том числе знакомиться с данными бухгалтерского учета, финансовой отчетности и другой документацией этого хозяйства;

3) обращаться к общему собранию членов крестьянского или фермерского хозяйства и (или) в государственные органы с жалобами на неправомерные действия (бездействие) главы и других членов;

4) обжаловать в судебном порядке решения главы и общего собрания членов крестьянского или фермерского хозяйства в случае нарушения их прав и законных интересов;

5) осуществлять иные права, предусмотренные настоящим Кодексом и законами Республики Казахстан.

4. Члены крестьянского или фермерского хозяйства обязаны:

1) выполнять решения общего собрания членов крестьянского или фермерского хозяйства;

2) соблюдать требования внутренних документов крестьянского или фермерского хозяйства;

3) в случае смены главы крестьянского или фермерского хозяйства общим заявлением извещать об этом органы, зарегистрировавшие хозяйство;

4) осуществлять иные обязанности, предусмотренные настоящим Кодексом и законами Республики Казахстан.

Статья 44. Особенности создания крестьянского или фермерского хозяйства

1. Крестьянское или фермерское хозяйство создается на добровольных началах и считается созданным с момента государственной регистрации права на земельный участок, а в случаях, установленных законами Республики Казахстан, после регистрации в качестве индивидуального предпринимателя.

2. Исключен Законом РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018).
Сноска. Статья 44 с изменением, внесенным Законом РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018).

Статья 45. Крестьянское или фермерское хозяйство как форма хозяйствования

1. Крестьянское или фермерское хозяйство является равноправной производственной единицей сельского хозяйства в Республике Казахстан.

2. Крестьянское или фермерское хозяйство самостоятельно определяет направление своей деятельности, структуру и объемы производства, выращивает, перерабатывает и реализует продукцию, а также решает другие вопросы, связанные с ведением хозяйства.

3. При осуществлении своей деятельности крестьянское или фермерское хозяйство вправе:

1) открывать банковские счета и распоряжаться своими деньгами;

2) получать кредиты под залог имущества, земельного участка и права землепользования в порядке и на условиях, установленных законодательством Республики Казахстан;

3) осуществлять страхование арендуемых и собственных средств производства, а также посевов (посадок) сельскохозяйственных культур, многолетних насаждений, произведенной продукции, сырья, материалов на случай гибели или повреждения в соответствии с законодательством Республики Казахстан о страховании и страховой деятельности;

4) на добровольных началах объединяться в кооперативы, общества и другие объединения, участвовать в деятельности кооперативных, хозяйственных товариществ и других организаций, а также по своему усмотрению выйти из любой организации.

Статья 46. Собственность крестьянского или фермерского хозяйства

1. Имущество крестьянского хозяйства принадлежит его членам на праве совместной собственности, если договором между ними не установлено иное.

Имущество фермерского хозяйства, организованного в форме простого товарищества на основе договора о совместной деятельности, принадлежит его членам на праве общей долевой собственности.

Имущество фермерского хозяйства, основанного на личном предпринимательстве, принадлежит ему на праве частной собственности.

2. В собственности членов крестьянского или фермерского хозяйства могут находиться земельные участки, насаждения на земельном участке, в том числе насаждения частного лесного фонда, дикие животные, разведенные и содержащиеся в неволе и (или) полувольных условиях, генетические ресурсы растений, хозяйственные и иные постройки, мелиоративные и другие сооружения, продуктивный и рабочий скот, птица, сельскохозяйственная и иная техника и оборудование, транспортные средства, инвентарь и другое имущество, переданные членами крестьянского или фермерского хозяйства и (или) приобретенные для хозяйства на общие средства его членов.

3. Плоды, продукция и доходы, полученные в результате деятельности крестьянского или фермерского хозяйства, являются общим совместным или общим долевым имуществом членов крестьянского или фермерского хозяйства и используются по соглашению между ними.

4. Имущественные отношения членов крестьянского или фермерского хозяйства регулируются соответствующими нормами гражданского и земельного законодательства Республики Казахстан.

5. Имущество и право на земельный участок крестьянского или фермерского хозяйства наследуются в порядке, предусмотренном законами Республики Казахстан.

Сноска. Статья 46 с изменением, внесенным Законом РК от 02.01.2023 № 184-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 47. Предоставление земельного участка для ведения крестьянского или фермерского хозяйства

Условия, порядок предоставления и использования земельного участка для ведения крестьянского или фермерского хозяйства устанавливаются Земельным кодексом Республики Казахстан.

Статья 48. Условия деятельности крестьянского или фермерского хозяйства

1. Крестьянское или фермерское хозяйство покрывает свои расходы за счет получаемого дохода.

2. Производственные, коммерческие и иные отношения крестьянского или фермерского хозяйства осуществляются на договорной основе.

3. К выполнению работ в крестьянском или фермерском хозяйстве могут привлекаться граждане, работающие по трудовому договору и (или) договору на оказание услуг по представлению персонала.

4. Порядок заключения договора о найме в крестьянском или фермерском хозяйстве, а также договора на оказание услуг по предоставлению персонала определяется трудовым и гражданским законодательством Республики Казахстан.

5. Члены крестьянского или фермерского хозяйства и граждане, работающие в хозяйстве по трудовому договору, а также по договору на оказание услуг по предоставлению персонала, пользуются всеми правами, предусмотренными законами Республики Казахстан.

6. Крестьянские и фермерские хозяйства имеют право пользоваться системой социального и пенсионного обеспечения, социального страхования в соответствии с законодательством Республики Казахстан о социальной защите.

Сноска. Статья 48 с изменениями, внесенными законами РК от 19.12.2020 № 386-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 20.04.2023 № 226-VII (вводится в действие с 01.07.2023).

Статья 49. Прекращение деятельности крестьянского или фермерского хозяйства

1. Деятельность крестьянского или фермерского хозяйства прекращается, если не остается ни одного члена хозяйства, наследника или другого лица, желающего продолжить деятельность хозяйства, а также в случаях банкротства и прекращения права частной собственности на земельный участок или права землепользования.

2. При прекращении деятельности крестьянского или фермерского хозяйства раздел общего имущества между участниками совместной собственности, а также выдел доли одного из них могут быть осуществлены при условии предварительного определения доли каждого из участников в праве на общее имущество.

3. Имущество, находящееся в долевой собственности, может быть разделено между его участниками по соглашению между ними.

4. Условия и порядок раздела имущества, земельного участка и права землепользования при прекращении деятельности крестьянского или фермерского хозяйства регулируются гражданским законодательством Республики Казахстан.

Параграф 3. Предпринимательство юридических лиц

Статья 50. Предпринимательство негосударственных юридических лиц

1. Предпринимательство негосударственных юридических лиц может осуществляться путем создания коммерческих юридических лиц, преследующих извлечение дохода в качестве основной цели своей деятельности.

2. Организационно-правовыми формами негосударственных коммерческих юридических лиц могут быть только хозяйственное товарищество, акционерное общество и производственный кооператив.

3. Некоммерческая организация может заниматься предпринимательской деятельностью лишь постольку, поскольку это соответствует ее уставным целям.

Статья 51. Предпринимательство государственных предприятий

1. Государством в целях решения социально-экономических задач, определяемых потребностями общества и государства, создаются государственные предприятия, основанные на праве:

1) хозяйственного ведения;

2) оперативного управления (казенные предприятия).

2. Государственным предприятием на праве хозяйственного ведения является коммерческая организация, наделенная государством имуществом на праве хозяйственного ведения и отвечающая по своим обязательствам всем принадлежащим ей имуществом.

3. Казенным предприятием является коммерческая организация, наделенная государством имуществом на праве оперативного управления.

Статья 52. Государственная регистрация юридических лиц, относящихся к субъектам предпринимательства, и учетная регистрация их филиалов и представительств

1. Юридические лица, создаваемые на территории Республики Казахстан и относящиеся к субъектам предпринимательства, подлежат государственной регистрации независимо от целей их создания, рода и характера их деятельности, состава участников (членов).

2. Филиалы и представительства юридических лиц, являющихся субъектами предпринимательства, расположенные на территории Республики Казахстан, подлежат учетной регистрации без приобретения ими права юридического лица.

3. Государственную регистрацию юридических лиц, относящихся к субъектам предпринимательства, и учетную регистрацию их филиалов и представительств осуществляет Государственная корпорация "Правительство для граждан" (регистрирующий орган), за исключением случаев, предусмотренных законодательными актами Республики Казахстан.

4. Государственная регистрация (перерегистрация) субъектов предпринимательства – юридических лиц осуществляется в соответствии с законодательством Республики Казахстан о государственной регистрации юридических лиц и учетной регистрации филиалов и представительств.

Сноска. Статья 52 с изменением, внесенным Законом РК от 02.04.2019 № 241-VI (вводится в действие с 01.07.2019).

Статья 53. Реорганизация и ликвидация юридического лица, являющегося субъектом предпринимательства

1. Реорганизация или ликвидация юридического лица, являющегося субъектом предпринимательства, осуществляется в соответствии с Гражданским кодексом Республики Казахстан с учетом особенностей, установленных настоящим Кодексом и законами Республики Казахстан.

2. Субъект предпринимательства объявляется решением суда банкротом на основании заявления должника или кредитора в суд, а в случаях, предусмотренных законами Республики Казахстан, и иных лиц.

3. Процедура реабилитации и банкротства юридического лица осуществляется в порядке, установленном законодательством Республики Казахстан о реабилитации и банкротстве.

Глава 3. ОБЪЕДИНЕНИЯ СУБЪЕКТОВ ПРЕДПРИНИМАТЕЛЬСТВА И УСЛОВИЯ ИХ ФУНКЦИОНИРОВАНИЯ

Статья 54. Объединения субъектов предпринимательства

1. Объединением субъектов предпринимательства является ассоциация (союз), создаваемая субъектами предпринимательства в целях координации их предпринимательской деятельности, а также представления и защиты общих интересов субъектов предпринимательства.

2. Финансирование объединений субъектов предпринимательства обеспечивается за счет добровольных членских взносов субъектов предпринимательства и иных источников, не запрещенных законами Республики Казахстан.

Статья 55. Основы деятельности объединений субъектов предпринимательства

Деятельность объединений субъектов предпринимательства основывается на:

1) равноправии всех субъектов предпринимательства;

2) недопущении принятия решений, не соответствующих основным направлениям внутренней и внешней политики государства;

3) независимости, не допускающей ограничения законно осуществляемой деятельности объединений субъектов предпринимательства;

4) прозрачности деятельности, подотчетности, ответственности перед своими членами;

5) эффективности, системности и оперативности в принятии решений и их реализации.

Статья 56. Национальная палата предпринимателей Республики Казахстан, ее цель и задачи

1. Национальной палатой предпринимателей Республики Казахстан (далее – Национальная палата) является некоммерческая организация, представляющая собой союз субъектов предпринимательства, созданная в целях обеспечения благоприятных правовых, экономических и социальных условий для реализации предпринимательской инициативы и развития взаимовыгодного партнерства между бизнес-сообществом и органами государственной власти Республики Казахстан, а также стимулирования и поддержки деятельности объединений индивидуальных предпринимателей и (или) юридических лиц в форме ассоциации (союза) (далее – ассоциация (союз).

2. Целью создания Национальной палаты является формирование институциональной основы для роста и дальнейшего развития предпринимательства в Республике Казахстан.

3. Задачами Национальной палаты являются:

1) консолидация предпринимательского сообщества;

2) представление, обеспечение и защита прав и законных интересов субъектов предпринимательства;

3) организация эффективного взаимодействия субъектов предпринимательства и их ассоциаций (союзов) с государственными органами;

4) содействие созданию благоприятных правовых, экономических и социальных условий для реализации предпринимательской инициативы в Республике Казахстан;

5) участие в процессе совершенствования законодательства Республики Казахстан, затрагивающего интересы предпринимательства;

6) иные задачи, предусмотренные законами Республики Казахстан.

Статья 57. Система Национальной палаты

1. Ассоциации (союзы) должны пройти аккредитацию для признания Национальной палатой их соответствия установленным критериям на представление интересов субъектов предпринимательства в органах управления и рабочих органах Национальной палаты.

2. В систему Национальной палаты входят:

1) на республиканском уровне:

Национальная палата;

аккредитованные в Национальной палате республиканские межотраслевые, отраслевые ассоциации (союзы), а также республиканские ассоциации (союзы) малого, среднего и (или) крупного предпринимательства;

2) на территориальном уровне:

палаты предпринимателей областей, городов республиканского значения и столицы (далее – региональные палаты);

аккредитованные в региональных палатах региональные межотраслевые, региональные отраслевые ассоциации (союзы), а также региональные ассоциации (союзы) малого, среднего и (или) крупного предпринимательства;

аккредитованные в региональных палатах областные, городов областного, республиканского значения и столицы ассоциации (союзы);

аккредитованные в региональных палатах районные, городов районного значения ассоциации (союзы);

3) на городском и районном уровнях:

филиалы региональных палат в районах соответствующих областей, городов областного, республиканского значения и столицы, а также в городах областного, районного значения;

4) юридические лица с участием Национальной палаты в качестве учредителя, созданные для реализации целей Закона Республики Казахстан "О Национальной палате предпринимателей Республики Казахстан";

5) филиалы и представительства Национальной палаты, находящиеся на территории иностранного государства;

6) Уполномоченный по защите прав предпринимателей Казахстана.

Статья 58. Принципы деятельности Национальной палаты

1. Деятельность Национальной палаты основывается на принципах:

1) самостоятельности;

2) равноправия всех субъектов предпринимательства;

3) принятия решений, не противоречащих основным направлениям внутренней и внешней политики государства;

4) прозрачности деятельности, подотчетности, ответственности перед своими членами;

5) эффективности, системности и оперативности в принятии решений и их реализации;

6) развития межотраслевых, отраслевых и региональных ассоциаций (союзов);

7) социальной ответственности предпринимательства;

8) способствования обеспечению безопасности товаров, работ и услуг для жизни и здоровья человека и окружающей среды, производимых производителями товаров, работ и услуг;

9) обеспечения баланса интересов общества и предпринимательства.

Примечание РЦПИ!

Пункт 2 вводится в действие после введения в действие законодательного акта о саморегулировании в соответствии с Кодексом РК от 29.10.2015 № 375-V.

2. Национальная палата образуется по принципу обязательности членства в ней субъектов предпринимательства, зарегистрированных (прошедших учетную регистрацию) в соответствии с законодательством Республики Казахстан, за исключением субъектов предпринимательства, для которых законодательством Республики Казахстан установлено обязательное членство в иных некоммерческих организациях, а также государственных предприятий, если иное не установлено настоящим пунктом.

На субъектов предпринимательства, являющихся членами (участниками) саморегулируемых организаций в сфере предпринимательской деятельности, основанных на обязательном членстве, распространяется принцип обязательности членства субъектов предпринимательства в Национальной палате.

Статья 59. Члены Национальной палаты

1. Членами Национальной палаты являются субъекты предпринимательства, если иное не установлено настоящим Кодексом и Законом Республики Казахстан "О Национальной палате предпринимателей Республики Казахстан".

2. Члены Национальной палаты вправе:

1) пользоваться профессиональной поддержкой и защитой со стороны Национальной палаты, а также услугами, предусмотренными ее уставом;

2) избирать и быть избранными в ее органы управления;

3) обращаться в Национальную палату с письменными запросами и получать мотивированные ответы в пределах предоставленных Национальной палате полномочий, вносить предложения по совершенствованию организации ее деятельности;

4) участвовать в управлении Национальной палатой в порядке, предусмотренном Законом Республики Казахстан "О Национальной палате предпринимателей Республики Казахстан" и уставом Национальной палаты;

5) проходить обучение, переподготовку и повышение квалификации, организуемые Национальной палатой;

6) получать квалифицированную информационно-аналитическую поддержку, в том числе услуги независимых экспертов различного профиля;

7) заслушивать отчеты о деятельности Национальной палаты в порядке, предусмотренном ее уставом;

8) пользоваться иными правами, предусмотренными законами Республики Казахстан.

3. Члены Национальной палаты обязаны оплачивать обязательные членские взносы.

4. Члены Национальной палаты равны в своих правах.

5. Национальная палата не вправе вмешиваться в деятельность субъектов предпринимательства, нарушать их права и законные интересы.

6. Урегулирование споров осуществляется в порядке, предусмотренном законодательством Республики Казахстан.

Статья 60. Компетенция Национальной палаты

Национальная палата осуществляет функции, предусмотренные настоящим Кодексом, Законом Республики Казахстан "О Национальной палате предпринимателей Республики Казахстан" и иными законами Республики Казахстан.

Статья 61. Взаимодействие с Правительством Республики Казахстан, государственными органами

1. Предельные размеры обязательных членских взносов определяются уполномоченным органом по предпринимательству.

2. Взаимодействие Правительства Республики Казахстан и Национальной палаты направлено на достижение цели ее создания и задач.

3. Взаимодействие Национальной палаты с Правительством Республики Казахстан и государственными органами осуществляется в порядке, предусмотренном настоящим Кодексом и иными нормативными правовыми актами, в форме:

Примечание ИЗПИ!
В подпункт 1) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1) участия Национальной палаты в разработке и экспертизе проектов нормативных правовых актов, затрагивающих интересы субъектов частного предпринимательства;

2) участия Национальной палаты в разработке и экспертизе международных договоров, участницей которых намеревается стать Республика Казахстан, а также проектов международных договоров Республики Казахстан, затрагивающих интересы субъектов частного предпринимательства;

3) создания Национальной палатой консультативно-совещательных органов с участием центральных и местных государственных

органов;

4) участия Национальной палаты в работе консультативно-совещательных органов при центральных и местных государственных органах, создаваемых по вопросам, затрагивающим права и обязанности субъектов предпринимательства;

5) иных формах, направленных на реализацию цели создания, задач и функций Национальной палаты.

4. Государственные органы обязаны в порядке, предусмотренном законодательством Республики Казахстан, предоставлять по запросу Национальной палаты информацию, затрагивающую права и обязанности предпринимателей Республики Казахстан, за исключением сведений, составляющих коммерческую, банковскую и иную охраняемую законом тайну.

Сноска. Статья 61 с изменением, внесенным Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Примечание РЦПИ!
Статья 62 вводится в действие после введения в действие законодательного акта о саморегулировании в соответствии с Кодексом РК от 29.10.2015 № 375-V.

Статья 62. Введение саморегулирования и его виды

В целях создания благоприятных правовых и экономических условий в сферах предпринимательской и профессиональной деятельности может быть введено саморегулирование, основанное на добровольном и обязательном членствах (участии) в саморегулируемых организациях в соответствии с законами Республики Казахстан.

Для введения саморегулирования, основанного на обязательном членстве (участии) в сфере предпринимательской или профессиональной деятельности, необходимо предварительное соблюдение следующих условий:

1) регулирующий государственный орган в конкретной сфере и заинтересованные лица должны предварительно провести процедуру анализа регуляторного воздействия в соответствии со статьей 83 настоящего Кодекса;

2) функционирование в сфере, в которой планируется введение саморегулирования, основанного на обязательном членстве (участии), саморегулируемых организаций, основанных на добровольном членстве (участии), и (или) иных некоммерческих организаций с обязательным членством субъектов предпринимательской или профессиональной деятельности, за исключением Национальной палаты предпринимателей Республики Казахстан.

Сноска. Статья 62 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

РАЗДЕЛ 2. ВЗАИМОДЕЙСТВИЕ СУБЪЕКТОВ ПРЕДПРИНИМАТЕЛЬСТВА И ГОСУДАРСТВА
Глава 4. УЧАСТИЕ СУБЪЕКТОВ ПРЕДПРИНИМАТЕЛЬСТВА В НОРМОТВОРЧЕСТВЕ

Статья 63. Аккредитация объединений субъектов частного предпринимательства

Сноска. Статья 63 исключена Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 64. Экспертные советы

1. Экспертным советом является консультативно-совещательный орган, создаваемый при центральных государственных и местных исполнительных органах для организации работы по:

выработке предложений по совершенствованию деятельности государственных органов с целью поддержки и защиты предпринимательства, в том числе устранения административных барьеров;

выработке предложений по совершенствованию законодательства Республики Казахстан, затрагивающего интересы предпринимательства;

Примечание ИЗПИ!
В абзац четвертый пункта 1 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

получению экспертных заключений от членов экспертных советов на проекты нормативных правовых актов, проекты международных договоров Республики Казахстан, а также международных договоров, участницей которых намеревается стать Республика Казахстан, затрагивающих интересы предпринимательства.

2. В состав экспертных советов входят представители Национальной палаты, саморегулируемых, объединений субъектов частного предпринимательства и иных некоммерческих организаций, государственных органов.

Заседания экспертных советов проводятся по мере необходимости.

3. Объединения субъектов частного предпринимательства и иные некоммерческие организации приобретают статус членов экспертного совета только с момента их аккредитации в центральном государственном или местном исполнительном органе.

4. Порядок проведения аккредитации, в том числе форма свидетельства об аккредитации, основания и порядок отмены аккредитации объединений субъектов частного предпринимательства и иных некоммерческих организаций, определяется уполномоченным органом по предпринимательству.

Свидетельство об аккредитации выдается сроком на три года.

Объединения субъектов частного предпринимательства, аккредитованные более двух раз подряд в центральных государственных и (или) местных исполнительных органах, получают свидетельство об аккредитации на бессрочной основе.

5. Участие в заседаниях экспертного совета принимают представители членов экспертного совета, полномочия которых подтверждаются доверенностью.

Составы экспертных советов при центральных государственных и местных исполнительных органах утверждаются решениями руководителей этих органов.

Примечание ИЗПИ!
В пункт 6 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6. Рассмотрению экспертным советом не подлежат проекты нормативных правовых актов, содержащих государственные секреты.

Примечание ИЗПИ!
В пункт 7 предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

7. Рассмотрение проекта нормативного правового акта, проекта международного договора Республики Казахстан, а также международного договора, участницей которого намеревается стать Республика Казахстан, осуществляется членами экспертного совета без проведения заседания путем незамедлительной рассылки экспертным советом членам экспертного совета уведомления о размещении соответствующего проекта на интернет-портале открытых нормативных правовых актов.

Заседание экспертного совета проводится по инициативе членов экспертного совета. Повестка дня рассматривается при наличии не менее двух третей его членов.

При этом заседания экспертного совета могут проводиться путем непосредственного созыва членов экспертного совета либо проведения видеоконференцсвязи или интернет-конференции в режиме реального времени.

8. На рассмотрение экспертного совета может быть вынесен любой вопрос, затрагивающий интересы субъектов частного предпринимательства, в случае, если данный вопрос относится к компетенции соответствующего центрального государственного или местного исполнительного органа.

9. Исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Сноска. Статья 64 в редакции Закона РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); с изменениями, внесенными законами РК от 12.03.2021 № 15-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 65. Особенности разработки и принятия нормативных правовых актов, затрагивающих интересы субъектов предпринимательства

Разработка и принятие нормативных правовых актов, затрагивающих интересы субъектов предпринимательства, осуществляются в соответствии с настоящим Кодексом и Законом Республики Казахстан "О правовых актах".

Сноска. Статья 65 в редакции Закона РК от 12.03.2021 № 15-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 66. Экспертные заключения по концепциям проектов законов, проектам нормативных правовых актов, затрагивающих интересы субъектов предпринимательства

Сноска. Статья 66 исключена Законом РК от 12.03.2021 № 15-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 67. Опубликование (распространение) проекта нормативного правового акта, затрагивающего интересы субъектов предпринимательства, в средствах массовой информации

Сноска. Статья 67 исключена Законом РК от 12.03.2021 № 15-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 68. Порядок введения в действие нормативного правового акта, затрагивающего интересы субъектов предпринимательства

Сноска. Статья 68 исключена Законом РК от 12.03.2021 № 15-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 69. Особенности заключения международных договоров, затрагивающих интересы субъектов частного предпринимательства

При разработке проектов международных договоров Республики Казахстан, а также международных договоров, участницей которых намеревается стать Республика Казахстан, затрагивающих интересы субъектов частного предпринимательства, применяется порядок, предусмотренный настоящим Кодексом и статьей 19 Закона Республики Казахстан "О правовых актах".

Сноска. Статья 69 в редакции Закона РК от 12.03.2021 № 15-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 5. ГОСУДАРСТВЕННО-ЧАСТНОЕ ПАРТНЕРСТВО

Статья 70. Понятие государственно-частного партнерства

Государственно-частное партнерство является формой сотрудничества между государственным партнером и частным партнером, соответствующей следующим признакам:

1) построение отношений государственного партнера и частного партнера путем заключения договора государственно-частного партнерства;

2) среднесрочный или долгосрочный срок реализации проекта государственно-частного партнерства (от пяти до тридцати лет в зависимости от особенностей проекта государственно-частного партнерства);

3) совместное участие государственного партнера и частного партнера в реализации проекта государственно-частного партнерства;

4) объединение ресурсов государственного партнера и частного партнера для реализации проекта государственно-частного партнерства;

4-1) наличие инвестиционного и эксплуатационного периодов в проекте государственно-частного партнерства.

Инвестиционный период включает проектирование (в случае необходимости), строительство и (или) реконструкцию, и (или) модернизацию либо создание объекта государственно-частного партнерства. Эксплуатационный период включает эксплуатацию объекта государственно-частного партнерства в соответствии с его функциональным назначением либо техническое обслуживание, либо управление инфраструктурой объекта государственно-частного партнерства;

5) осуществление инвестиций частным партнером для реализации проекта государственно-частного партнерства..

Сноска. Статья 70 с изменениями, внесенными законами РК от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 71. Субъекты государственно-частного партнерства

Субъектами государственно-частного партнерства являются государственный партнер и частный партнер, а также иные лица, участвующие в реализации проекта государственно-частного партнерства, предусмотренные Законом Республики Казахстан "О государственно-частном партнерстве".

Статья 72. Объекты государственно-частного партнерства

Объектами государственно-частного партнерства являются здания, сооружения и (или) оборудование, имущественные комплексы, результаты интеллектуальной творческой деятельности, которые создаются (в том числе строятся и в случае необходимости проектируются) и (или) реконструируются, и (или) модернизируются, а также эксплуатируются в рамках реализации проекта государственно-частного партнерства.

Сноска. Статья 72 - в редакции Закон РК от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 73. Основные задачи и принципы государственно-частного партнерства

1. Основными задачами государственно-частного партнерства являются:

1) создание условий для эффективного взаимодействия государственного партнера и частного партнера в целях обеспечения устойчивого социально-экономического развития Республики Казахстан;

2) привлечение инвестиций в экономику государства путем объединения ресурсов государственного партнера и частного партнера для развития инфраструктуры и систем жизнеобеспечения населения;

3) повышение уровня доступности и качества товаров, работ и услуг с учетом интересов и потребностей населения, а также иных заинтересованных лиц;

4) повышение общей инновационной активности в Республике Казахстан, в том числе содействие развитию высокотехнологичных и наукоемких производств.

2. Принципами государственно-частного партнерства являются:

1) принцип последовательности – поэтапное построение взаимоотношений между субъектами государственно-частного партнерства;

2) принцип конкурсности – определение частного партнера на конкурсной основе, за исключением случаев, установленных Законом Республики Казахстан "О государственно-частном партнерстве";

3) принцип сбалансированности – взаимовыгодное распределение обязанностей, гарантий, рисков и доходов между государственным партнером и частным партнером в процессе реализации проекта государственно-частного партнерства;

4) принцип результативности – установление критериев и показателей, позволяющих оценить достижение результатов государственно-частного партнерства;

4-1) принцип прозрачности и доступности информации – открытый доступ к информации о процессах планирования и реализации проектов государственно-частного партнерства в пределах, установленных законами Республики Казахстан;

5) принцип ценности для населения – обеспечение развития социальной инфраструктуры и систем жизнеобеспечения населения, повышение уровня доступности и качества товаров, работ и услуг, а также создание рабочих мест в рамках реализации проекта государственно-частного партнерства.

Сноска. Статья 73 с изменениями, внесенными законами РК от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 74. Сферы применения государственно-частного партнерства и способы его осуществления

1. Государственно-частное партнерство осуществляется во всех отраслях (сферах) экономики. При этом не могут быть переданы для реализации государственно-частного партнерства объекты, перечень которых определяется Правительством Республики Казахстан.

2. Государственно-частное партнерство по способу осуществления подразделяется на институциональное и контрактное.

3. Институциональное государственно-частное партнерство реализуется компанией государственно-частного партнерства в соответствии с договором государственно-частного партнерства.

4. В иных случаях государственно-частное партнерство осуществляется по способу контрактного государственно-частного партнерства.

Контрактное государственно-частное партнерство реализуется посредством заключения договора государственно-частного партнерства, в том числе в следующих видах:

1) концессии;

2) доверительного управления государственным имуществом;

3) имущественного найма (аренды) государственного имущества;

4) лизинга;

5) договоров, заключаемых на разработку технологии, изготовление опытного образца, опытно-промышленное испытание и мелкосерийное производство;

6) контракта жизненного цикла;

7) сервисного контракта;

8) иных договоров, соответствующих признакам государственно-частного партнерства.

Сноска. Статья 74 с изменением, внесенным Законом РК от 03.07.2017 № 86-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 6. СОЦИАЛЬНАЯ ОТВЕТСТВЕННОСТЬ ПРЕДПРИНИМАТЕЛЬСТВА

Статья 75. Общие положения социальной ответственности предпринимательства

1. Социальной ответственностью предпринимательства является добровольный вклад субъектов предпринимательства в развитие социальной, экологической и иных сфер.

2. Государство создает условия для социальной ответственности предпринимательства в Республике Казахстан.

3. Никто не вправе принуждать субъектов предпринимательства осуществлять деятельность по социальной ответственности.

Не допускается незаконное вмешательство государства в дела субъектов предпринимательства при осуществлении благотворительности.

4. Субъекты предпринимательства в своей деятельности могут внедрять социальную ответственность предпринимательства в сферах занятости и трудовых отношений, охраны окружающей среды и иных сферах.

Социальная ответственность предпринимательства может осуществляться субъектами предпринимательства посредством благотворительности и в иных формах, не запрещенных законодательством Республики Казахстан.

Статья 76. Социальная ответственность предпринимательства в сфере занятости и трудовых отношений

1. Социальная ответственность предпринимательства строится на основе защиты предусмотренных законодательством Республики Казахстан прав работников субъектов предпринимательства и должна быть направлена на развитие партнерских отношений между субъектом предпринимательства и его работниками в решении социальных вопросов и регламентации условий труда.

2. Основными направлениями в сфере занятости и трудовых отношений предпринимательства являются сохранение рабочих мест, улучшение условий труда, обеспечение безопасности условий труда и соблюдение норм социальной защиты работников, а также утверждение внутренней политики.

3. Субъекты предпринимательства участвуют в реализации политики социального партнерства и коллективных отношений в сфере труда в соответствии с трудовым законодательством Республики Казахстан.

Статья 77. Социальная ответственность предпринимательства в экологической сфере

1. Субъекты предпринимательства должны обеспечивать бережное и рациональное отношение к окружающей среде.

2. Социальная ответственность предпринимательства в экологической сфере реализуется посредством добровольного выполнения следующих задач:

1) финансирование программ и мероприятий в области охраны окружающей среды и благоустройства улиц, парков и других общественных мест;

2) утверждение внутренней политики в сфере охраны окружающей среды;

3) решение иных вопросов, направленных на улучшение состояния окружающей среды.

Статья 78. Государственные гарантии при осуществлении благотворительности субъектами предпринимательства

1. Защита прав и законных интересов субъектов предпринимательства – участников благотворительности гарантируется и поддерживается государством.

2. Государством стимулируется благотворительность субъектов предпринимательства посредством установления и присуждения субъектам предпринимательства, осуществляющим такую деятельность, внесшим значительный вклад в развитие благотворительности, государственных наград в порядке, определяемом Президентом Республики Казахстан, а также почетных званий в порядке, определяемом уполномоченным органом в сфере благотворительности.

3. Субъекты предпринимательства, осуществляющие благотворительность, имеют право на налоговые льготы в соответствии с Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс).

4. Должностные лица государственных органов, препятствующие реализации прав субъектов предпринимательства по осуществлению благотворительности и получению физическими и юридическими лицами благотворительной помощи, несут ответственность в соответствии с законами Республики Казахстан.

Сноска. Статья 78 с изменениями, внесенными законами РК от 03.07.2017 № 86-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 04.07.2022 № 134-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 79. Взаимодействие государства и субъектов предпринимательства, занимающихся благотворительностью

1. Государство обеспечивает соблюдение прав и законных интересов субъектов предпринимательства, а также их объединений, осуществляющих благотворительность.

2. Субъекты предпринимательства, а также их объединения, осуществляющие благотворительность, могут сотрудничать и взаимодействовать с государственными органами, местными исполнительными органами, заключать с ними соглашения, а также на основании договоров выполнять определенные работы, предусмотренные законами Республики Казахстан.

3. Нормы настоящего Кодекса не распространяются на механизм привлечения, оценки, мониторинга и использования связанных и несвязанных грантов, которые не могут быть использованы для целей филантропической деятельности.

Глава 6-1. Социальное предпринимательство

Сноска. Раздел 2 дополнен главой 6-1в соответствии с Законом РК от 24.06.2021 № 52-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 79-1. Социальное предпринимательство

Социальным предпринимательством является предпринимательская деятельность субъектов социального предпринимательства, способствующая решению социальных проблем граждан и общества, осуществляемая в соответствии с условиями, предусмотренными статьей 79-3 настоящего Кодекса.

Субъектами социального предпринимательства являются индивидуальные предприниматели и юридические лица (за исключением субъектов крупного предпринимательства), включенные в реестр субъектов социального предпринимательства.

Статья 79-2. Основные задачи социального предпринимательства

Основными задачами социального предпринимательства являются:

1) обеспечение участия субъектов предпринимательства в решении социальных проблем, в том числе путем внедрения социальных инноваций и содействия в оказании социальных услуг, предусмотренных статьей 79-3 настоящего Кодекса.

Для целей настоящего Кодекса под социальными инновациями понимаются новые идеи, стратегии, технологии, которые способствуют решению социально значимых задач, вызывающих социальные изменения в обществе;

2) содействие в обеспечении занятости социально уязвимых слоев населения, указанных в статье 79-3 настоящего Кодекса, и создание для них равных с другими гражданами возможностей для участия в общественно полезной деятельности;

3) продвижение на рынок производимых товаров, выполняемых работ, оказываемых услуг субъектами социального предпринимательства, в том числе путем личного трудового участия социально уязвимых слоев населения, указанных в статье 79-3 настоящего Кодекса.

Статья 79-3. Категории субъектов социального предпринимательства

Субъекты социального предпринимательства подразделяются на следующие категории в зависимости от соответствия одному или нескольким условиям, перечисленным в настоящей статье:

Примечание ИЗПИ!
В подпункт 1) предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1) первая категория – субъект социального предпринимательства способствует занятости следующих категорий граждан при условии, что по итогам предыдущего календарного года среднегодовая численность лиц, относящихся к любой из таких категорий (одной или нескольким таким категориям), среди работников субъекта социального предпринимательства составляет не менее пятидесяти процентов (но не менее двух лиц, относящихся к таким категориям), а доля расходов на оплату труда лиц, относящихся к любой из таких категорий (одной или нескольким таким категориям), в расходах на оплату труда составляет не менее двадцати пяти процентов (социальный статус работника устанавливается на момент заключения трудового договора):

лица с инвалидностью;

родители и другие законные представители, воспитывающие ребенка с инвалидностью;

пенсионеры и граждане предпенсионного возраста (в течение пяти лет до наступления возраста, дающего право на пенсионные выплаты по возрасту);

воспитанники детских деревень и выпускники детских домов, школ-интернатов для детей-сирот и детей, оставшихся без попечения родителей, – в возрасте до двадцати девяти лет;

лица, освобожденные от отбывания наказания из учреждений уголовно-исполнительной (пенитенциарной) системы, – в течение двенадцати месяцев после освобождения;

лица без определенного места жительства;

родители и другие законные представители, относящиеся к малообеспеченным, многодетным или неполным семьям, а также многодетные матери, награжденные подвесками "Алтын алқа", "Күміс алқа" или получившие ранее звание "Мать-героиня", а также награжденные орденами "Материнская слава" I и II степени;

лица, прошедшие медико-социальную реабилитацию наркологических больных или лечение зависимости от психоактивных веществ, – в течение двенадцати месяцев после проведения реабилитации или лечения;

кандасы;

2) вторая категория – субъект социального предпринимательства способствует реализации производимых товаров, выполняемых работ, оказываемых услуг граждан из числа категорий, указанных в подпункте 1) настоящей статьи. При этом доля доходов от осуществления такой деятельности (видов такой деятельности) по итогам предыдущего календарного года должна составлять не менее пятидесяти процентов в общем объеме доходов субъекта социального предпринимательства, а доля полученного субъектом социального предпринимательства чистого дохода за предшествующий календарный год, направленная на осуществление такой деятельности (видов такой деятельности) в текущем календарном году, составляет не менее пятидесяти процентов от размера указанного дохода (в случае наличия чистого дохода за предшествующий календарный год);

3) третья категория – субъект социального предпринимательства осуществляет деятельность по производству товаров, выполнению работ, оказанию услуг, предназначенных для лиц с инвалидностью, в целях создания для них условий, позволяющих преодолеть или компенсировать ограничения их жизнедеятельности, а также предназначенных для иных лиц, указанных в подпункте 1) настоящей статьи, в целях создания равных с другими гражданами возможностей для участия в общественно полезной деятельности при условии, что доля доходов от осуществления такой деятельности (видов такой деятельности) по итогам предыдущего календарного года составляет не менее пятидесяти процентов в общем объеме доходов субъекта социального предпринимательства, а доля полученного субъектом социального предпринимательства чистого дохода за предшествующий календарный год, направленная на осуществление такой деятельности (видов такой деятельности) в текущем календарном году, составляет не менее пятидесяти процентов от размера указанного дохода (в случае наличия чистого дохода за предшествующий календарный год) в соответствии со следующими видами деятельности:

по оказанию социально-бытовых услуг, направленных на поддержание жизнедеятельности в быту;

по оказанию социально-медицинских услуг, направленных на поддержание и сохранение здоровья путем организации ухода, оказания содействия в проведении оздоровительных мероприятий, систематического наблюдения для выявления изменения состояния здоровья граждан;

по оказанию социально-психологических услуг, предусматривающих оказание помощи в коррекции психологического состояния для адаптации в социальной среде;

по оказанию социально-педагогических услуг, направленных на профилактику отклонений в поведении;

по оказанию социально-трудовых услуг, направленных на оказание помощи в трудоустройстве и решении иных проблем, связанных с трудовой адаптацией;

по оказанию услуг, предусматривающих повышение коммуникативного потенциала, реабилитацию и социальную адаптацию, услуг по социальному сопровождению;

по производству и (или) реализации медицинской техники, протезно-ортопедических средств, программного обеспечения в области цифрового здравоохранения, а также технических средств, которые могут быть использованы исключительно для профилактики заболеваний, реабилитации лиц с инвалидностью, в том числе медицинской абилитации детей с инвалидностью;

по организации отдыха и оздоровления лиц с инвалидностью и пенсионеров;

по реализации образовательных программ дополнительного образования;

по созданию условий для лиц с инвалидностью и маломобильных групп населения по обеспечению доступа к объектам социальной, транспортной и рекреационной инфраструктуры, использования транспортных средств, оказания универсальных услуг связи при предоставлении информации;

4) четвертая категория – субъект социального предпринимательства осуществляет деятельность при условии, что доля доходов от осуществления такой деятельности (видов такой деятельности) по итогам предыдущего календарного года составляет не менее пятидесяти процентов в общем объеме доходов субъекта социального предпринимательства, а доля полученного субъектом социального предпринимательства чистого дохода за предшествующий календарный год, направленная на осуществление такой деятельности (видов такой деятельности) в текущем календарном году, составляет не менее пятидесяти процентов от размера указанного дохода (в случае наличия чистого дохода за предшествующий календарный год) из числа следующих видов деятельности:

по оказанию психолого-педагогических и иных услуг, направленных на укрепление семьи, обеспечение семейного воспитания детей и поддержку материнства и детства;

по организации отдыха и оздоровления детей;

по реализации общеобразовательных учебных программ дошкольного воспитания и обучения, начального, основного среднего, общего среднего образования, образовательных программ технического и профессионального образования;

по оказанию психолого-педагогической поддержки детям с ограниченными возможностями, медицинской и социальной помощи обучающимся и воспитанникам, испытывающим трудности в освоении учебных программ основного среднего и общего среднего образования, развитии и социальной адаптации;

по обучению работников и добровольцев (волонтеров) социально ориентированных некоммерческих организаций, направленному на повышение качества предоставления услуг такими организациями;

культурно-просветительская (в том числе деятельность частных музеев, театров, библиотек, архивов, школ-студий, творческих мастерских, ботанических и зоологических садов, домов культуры, домов народного творчества);

по охране окружающей среды;

по оказанию социально уязвимым слоям населения, указанным в статье 79-3 настоящего Кодекса, гериатрической и геронтологической помощи, организации центров здоровья и долголетия, мероприятий по ведению здорового образа жизни.

Сноска. Статья 79-3 с изменениями, внесенными Законом РК от 27.06.2022 № 129-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 79-4. Реестр субъектов социального предпринимательства

1. Для использования данных о категориях субъектов социального предпринимательства уполномоченный орган по предпринимательству ведет реестр субъектов социального предпринимательства.

Реестром субъектов социального предпринимательства является электронная база данных, содержащая сведения об индивидуальных предпринимателях и юридических лицах, являющихся субъектами социального предпринимательства, а именно:

1) наименование индивидуального предпринимателя либо наименование и дата регистрации юридического лица;

2) идентификационный номер;

3) юридический адрес (место нахождения);

4) дату внесения в реестр субъектов социального предпринимательства;

5) категорию субъекта социального предпринимательства.

Примечание ИЗПИ!
В часть третью пункта 1 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Уполномоченный орган по предпринимательству утверждает реестр субъектов социального предпринимательства не позднее 1 февраля текущего года по состоянию на 31 декабря предшествующего календарного года.

Указанные сведения ежегодно актуализируются уполномоченным органом по предпринимательству по состоянию на 31 декабря предшествующего календарного года на соответствие условиям, предусмотренным статьей 79-3 настоящего Кодекса, с учетом сведений, представленных местными исполнительными органами областей, городов республиканского значения и столицы по итогам рассмотрения специальной комиссией.

При соответствии индивидуального предпринимателя или юридического лица условиям, предусмотренным статьей 79-3 настоящего Кодекса, уполномоченный орган по предпринимательству 1 числа календарного квартала на основании сведений, представленных в уполномоченный орган по предпринимательству местными исполнительными органами областей, городов республиканского значения и столицы по итогам рассмотрения специальной комиссией, вправе вносить в реестр новых субъектов социального предпринимательства.

В состав специальной комиссии включаются представители государственных органов, Национальной палаты предпринимателей, общественных объединений и профессиональных союзов.

2. Уполномоченный орган по предпринимательству размещает на своем интернет-ресурсе реестр субъектов социального предпринимательства.

3. Правила ведения реестра субъектов социального предпринимательства утверждаются уполномоченным органом по предпринимательству.

Сноска. Статья 79-4 с изменениями, внесенными Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 7. ГОСУДАРСТВЕННОЕ РЕГУЛИРОВАНИЕ ПРЕДПРИНИМАТЕЛЬСТВА

Статья 80. Цели, задачи и пределы государственного регулирования предпринимательства

1. Целями государственного регулирования предпринимательства являются обеспечение безопасности производимых и реализуемых субъектом предпринимательства товаров, работ, услуг для жизни и здоровья людей, защиты их законных интересов, безопасности для окружающей среды, национальной безопасности Республики Казахстан, защиты имущественных интересов государства и создание благоприятных условий для развития предпринимательства, стимулирующих рост экономики страны.

2. Задачи государственного регулирования предпринимательства включают:

1) защиту жизни и здоровья людей, охрану окружающей среды;

2) формирование регуляторной среды, стимулирующей привлечение инвестиций в национальную экономику, и благоприятной экосистемы для инновационной деятельности;

3) создание условий для развития добросовестной конкуренции;

4) стимулирование добросовестного, этичного ведения бизнеса, основанного на деловой репутации предпринимателей;

5) содействие развитию саморегулирования;

6) защиту прав потребителей.

3. Государственное регулирование предпринимательства осуществляется через регуляторные инструменты и основано на установлении государством требований, обязательных для исполнения субъектами предпринимательства, на уровне:

1) законов Республики Казахстан;

2) нормативных правовых указов Президента Республики Казахстан;

3) нормативных правовых постановлений Правительства Республики Казахстан;

4) нормативных правовых приказов министров Республики Казахстан и иных руководителей центральных государственных органов и их ведомств;

5) нормативных правовых актов Национального Банка Республики Казахстан и уполномоченного органа по регулированию, контролю и надзору финансового рынка и финансовых организаций;

6) нормативных правовых решений маслихатов, нормативных правовых решений акимов, нормативных правовых постановлений акиматов;

7) иных документов, содержащих в соответствии с законодательством Республики Казахстан обязательные требования.

Примечание ИЗПИ!
Пункт 4 предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4. Действие настоящей главы не распространяется на государственное регулирование предпринимательства в области финансового законодательства Республики Казахстан, деятельности финансовых организаций, филиалов банков – нерезидентов Республики Казахстан, филиалов страховых (перестраховочных) организаций – нерезидентов Республики Казахстан, филиалов страховых брокеров – нерезидентов Республики Казахстан и лиц, входящих в состав страховых групп и банковских конгломератов, на проекты нормативных правовых актов Национального Банка Республики Казахстан и уполномоченного органа по регулированию, контролю и надзору финансового рынка и финансовых организаций, а также на проекты нормативных правовых актов уполномоченного органа, осуществляющего руководство в сфере обеспечения поступлений налогов и других обязательных платежей в бюджет, по вопросам валютного регулирования.

Сноска. Статья 80 – в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); с изменением, внесенным Законом РК от 12.07.2023 № 23-VIII (вводится в действие с 01.01.2024).

Статья 81. Формы и средства государственного регулирования предпринимательства

1. Государственное регулирование предпринимательства осуществляется в форме:

1) государственной регистрации субъектов предпринимательства;

2) технического регулирования;

3) государственного регулирования цен и тарифов;

4) обязательного страхования гражданско-правовой ответственности субъектов предпринимательства в соответствии с законами Республики Казахстан;

5) защиты конкуренции и ограничения монополистической деятельности;

6) иных формах государственного регулирования предпринимательства, установленных законами Республики Казахстан.

2. Средствами обеспечения исполнения требований, обязательных для исполнения субъектами предпринимательства, являются следующие регуляторные инструменты:

1) разрешительный или уведомительный порядок осуществления субъектами предпринимательства отдельных видов деятельности или действий (операций);

2) государственный контроль и надзор;

3) установление законами Республики Казахстан ответственности субъектов предпринимательства;

4) информационные инструменты;

5) саморегулирование, основанное на обязательном членстве (участии) в саморегулируемой организации.

Сноска. Статья 81 – в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 81-1. Условия формирования регуляторных инструментов и (или) требований, обязательных для исполнения субъектами предпринимательства

1. Регуляторные инструменты и (или) требования формируются на основании следующих условий:

1) обоснованности;

2) равенства регулирования предпринимательской деятельности;

3) открытости;

4) исполнимости;

5) определенности;

6) соразмерности и рациональности;

7) последовательности и предсказуемости.

2. Условия, указанные в пункте 1 настоящей статьи, имеют следующие определения:

1) под обоснованностью понимается, что регуляторные инструменты и (или) требования вводятся исключительно в целях защиты прав и законных интересов физических и юридических лиц, жизни и здоровья людей, окружающей среды, обороны и национальной безопасности Республики Казахстан;

2) под равенством регулирования предпринимательской деятельности понимается недопущение установления более выгодных правовых условий для отдельных субъектов рынка, в том числе для субъектов квазигосударственного сектора и субъектов естественных монополий, при осуществлении данного регулирования, если иное не установлено законами Республики Казахстан;

3) под открытостью понимается доступность информации о вводимом (изменяемом) регуляторном инструменте и (или) требовании, ясность мотивов их введения;

4) под исполнимостью понимается возможность исполнения субъектами предпринимательства условий вводимого регуляторного инструмента и (или) требования;

5) под определенностью понимается изложение норм нормативных правовых актов, регламентирующих регуляторные инструменты и (или) требования, в понятной, доступной форме, не допускающей двоякого толкования;

6) под соразмерностью и рациональностью понимается соответствие уровня воздействия государственного регулирования предпринимательства степени риска наступления неблагоприятных событий для охраняемых Конституцией и законами Республики Казахстан ценностей;

7) под последовательностью и предсказуемостью понимается соответствие вводимых и (или) действующих регуляторных инструментов и (или) требований документам Системы государственного планирования в Республике Казахстан.

Примечание ИЗПИ!
В часть первую пункта 3 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3. Введение регуляторных инструментов и (или) требований, а также изменение действующих осуществляются с соблюдением условий, установленных настоящей статьей.

Регуляторные инструменты и (или) требования должны соответствовать целям, задачам государственного регулирования предпринимательства и принципам взаимодействия субъектов предпринимательства и государства, установленным статьями 3 и 80 настоящего Кодекса.

Примечание ИЗПИ!
В пункт 4 предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4. Оценка соответствия условиям вводимых и действующих регуляторных инструментов и (или) требований осуществляется в рамках проведения анализа регуляторного воздействия в соответствии с правилами проведения и использования анализа регуляторного воздействия регуляторных инструментов и (или) требований.

Сноска. Глава 7 дополнена статьей 81-1 в соответствии с Законом РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 82. Особенности разработки и принятия нормативных правовых актов, предусматривающих введение регуляторных инструментов и (или) требований, ужесточение регулирования в отношении субъектов предпринимательства

1. В случае, если государственные органы планируют ввести новый регуляторный инструмент и (или) требование, ужесточить регулирование в отношении субъектов предпринимательства, государственные органы должны предварительно провести процедуру анализа регуляторного воздействия в порядке, определяемом уполномоченным органом по предпринимательству.

Ужесточением регулирования является установление дополнительных обязанностей или иное увеличение нагрузки на субъектов предпринимательства.

Примечание ИЗПИ!
В часть первую пункта 2 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2. Введение нового требования или ужесточение регулирования в отношении субъектов предпринимательства должно предусматривать отмену двух требований в той же области правового регулирования предпринимательской деятельности в порядке, определенном правилами проведения и использования анализа регуляторного воздействия регуляторных инструментов и (или) требований, за исключением случаев, которые могут повлечь массовую угрозу жизни и здоровью населения, окружающей среде и национальной безопасности Республики Казахстан.

Положения данного пункта не распространяются на случаи, когда регулирование соответствующих правоотношений при осуществлении предпринимательской деятельности вводится впервые, а также на случаи, предусмотренные подпунктом 3) части второй пункта 3 настоящей статьи.

3. Анализу регуляторного воздействия подлежат проекты документов Системы государственного планирования в Республике Казахстан, проекты нормативных правовых актов Республики Казахстан, проекты технических регламентов Евразийского экономического союза, предусматривающих введение регуляторных инструментов и (или) требований или ужесточение регулирования в отношении субъектов предпринимательства.

При этом требование о проведении анализа регуляторного воздействия до и после введения регуляторного инструмента и (или) требования, ужесточения регулирования в отношении субъектов предпринимательства не распространяется на:

1) регулирование вопросов по преодолению последствий аварий, стихийных бедствий и иных чрезвычайных ситуаций;

2) регулирование оборота вооружения и военной техники, оборота гражданского и служебного оружия и патронов к нему, оборота наркотических средств, психотропных веществ, их аналогов и прекурсоров;

3) регулирование деятельности финансовых организаций, филиалов банков – нерезидентов Республики Казахстан, филиалов страховых (перестраховочных) организаций – нерезидентов Республики Казахстан, филиалов страховых брокеров – нерезидентов Республики Казахстан и лиц, входящих в состав страховых групп и банковских конгломератов, а также на проекты нормативных правовых актов Национального Банка Республики Казахстан и уполномоченного органа по регулированию, контролю и надзору финансового рынка и финансовых организаций;

Примечание ИЗПИ!
В подпункт 4) части второй предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4) введение специального валютного режима в случае угрозы экономической безопасности Республики Казахстан и стабильности ее финансовой системы;

4-1) введение запретов и количественных ограничений и мер таможенно-тарифного регулирования в целях предотвращения либо уменьшения критического недостатка на внутреннем рынке продовольственных или иных товаров, включенных в перечень существенно важных товаров, и обеспечения национальной безопасности Республики Казахстан на основании решения консультативно-совещательного органа по торговой политике при Правительстве Республики Казахстан;

5) проекты нормативных правовых актов, содержащих сведения, составляющие государственные секреты;

6) принятие решений об установлении карантинной зоны с введением карантинного режима на соответствующей территории, а также карантина или ограничительных мероприятий в случае возникновения инфекционных и паразитарных заболеваний людей и заразных болезней животных;

7) регулирование вопросов по противодействию экстремизму и терроризму;

8) регулирование вопросов в сфере контрразведывательной и разведывательной деятельности;

9) регулирование вопросов в сфере оперативно-розыскной деятельности;

10) регулирование вопросов проведения охранных мероприятий по обеспечению безопасности охраняемых лиц и объектов;

11) регулирование вопросов, связанных с введением и обеспечением военного положения.

Требования о проведении анализа регуляторного воздействия при введении нового регуляторного инструмента и (или) требования или ужесточении регулирования в отношении субъектов предпринимательства также не распространяются на проекты законов, разработанные в порядке законодательной инициативы Президента Республики Казахстан и депутатов Парламента Республики Казахстан, а также на процесс рассмотрения проектов законов в Парламенте Республики Казахстан. По проектам законов, внесенным в порядке законодательной инициативы депутатов Парламента Республики Казахстан, а также по поправкам депутатов к проектам законов, находящимся на рассмотрении в Парламенте Республики Казахстан, может быть проведен анализ регуляторного воздействия по основаниям, установленным настоящей статьей, в рамках заключения Правительства Республики Казахстан.

4. Введение нового регуляторного инструмента и (или) требования, ужесточение регулирования в отношении субъектов предпринимательства осуществляются только после одобрения на заседании межведомственной комиссии по вопросам регулирования предпринимательской деятельности.

Межведомственная комиссия по вопросам регулирования предпринимательской деятельности является консультативно-совещательным органом при Правительстве Республики Казахстан, создаваемым в целях выработки предложений и рекомендаций по вопросам совершенствования законодательства Республики Казахстан в сфере предпринимательства, основными функциями которого являются:

1) рассмотрение результатов анализа регуляторного воздействия;

2) рассмотрение и одобрение годового отчета о состоянии регулирования предпринимательской деятельности в Республике Казахстан;

3) рассмотрение рекомендаций экспертных групп и принятие решений по ним;

4) осуществление иных функций в соответствии с законодательством Республики Казахстан.

Межведомственная комиссия по вопросам регулирования предпринимательской деятельности имеет право:

1) взаимодействовать с центральными исполнительными и другими государственными органами и организациями;

2) вносить в Правительство Республики Казахстан предложения и рекомендации по вопросам совершенствования законодательства Республики Казахстан в сфере предпринимательства;

3) приглашать на заседания межведомственной комиссии по вопросам регулирования предпринимательской деятельности и заслушивать представителей государственных органов и других организаций Республики Казахстан по вопросам, входящим в ее компетенцию;

4) запрашивать и получать от государственных органов и других организаций необходимые материалы, за исключением сведений, составляющих коммерческую, банковскую и иную охраняемую законом тайну;

5) образовывать экспертные группы, утверждать положения о них и обеспечивать прозрачность формирования и деятельности таких экспертных групп.

Требования настоящего пункта не распространяются на проекты актов регионального значения, а также на случаи, предусмотренные подпунктами 3) и 4) части второй пункта 3 настоящей статьи, за исключением случаев введения регуляторного инструмента и (или) требования, ужесточения регулирования в отношении субъектов предпринимательства в проектах законов Республики Казахстан.

Под актами регионального значения понимаются документы Системы государственного планирования в Республике Казахстан и нормативные правовые акты, принятые местными представительными и исполнительными органами, в том числе акимом соответствующей территории.

5. Введение административной и (или) уголовной ответственности или пересмотр существующей административной и (или) уголовной ответственности субъектов предпринимательства в сторону ужесточения, помимо анализа регуляторного воздействия, должны предусматривать:

1) недопустимость карательного характера мер юридической ответственности;

2) разумное соотношение размеров юридической ответственности в случае введения за одно и то же правонарушение нескольких видов юридической ответственности;

3) конкретизацию требований, нарушение которых влечет юридическую ответственность в рамках анализа регуляторного воздействия.

Сноска. Статья 82 – в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); с изменениями, внесенными законами РК от 05.11.2022 № 157-VII (вводится в действие с 01.01.2023); от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 83. Анализ регуляторного воздействия

1. Анализом регуляторного воздействия является аналитическая процедура сопоставления выгод и затрат от вводимого регуляторного инструмента и (или) требования, ужесточения регулирования, позволяющая оценивать достижение целей государственного регулирования в последующем.

Целью анализа регуляторного воздействия является повышение действенности и эффективности государственной политики в части использования конкретных регуляторных инструментов и (или) требований, ужесточения регулирования через оценку альтернативных подходов регулирования для достижения определенных целей или решения четко определенных проблем.

При проведении анализа регуляторного воздействия проводится оценка воздействия вводимого регуляторного инструмента и (или) требования, ужесточения регулирования на состояние конкурентной среды.

Правила проведения оценки воздействия на конкуренцию утверждаются антимонопольным органом.

Примечание ИЗПИ!
Пункт 2 предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2. Анализ регуляторного воздействия проводится до и после введения регуляторного инструмента и (или) требования, ужесточения регулирования, в том числе по действующим регуляторным инструментам и (или) требованиям, в отношении которых ранее не проводился анализ регуляторного воздействия.

Анализ регуляторного воздействия введенных регуляторных инструментов и (или) требований, ужесточения регулирования, а также действующих регуляторных инструментов и (или) требований, ужесточения регулирования осуществляется в соответствии с планами пересмотра, утверждаемыми регулирующими государственными органами ежегодно, в том числе с учетом обоснованных предложений уполномоченного органа по предпринимательству, Национальной палаты.

В отношении документов, указанных в подпункте 6) пункта 2 статьи 80 настоящего Кодекса, план пересмотра ежегодно утверждается местным исполнительным органом области, города республиканского значения, столицы, в том числе с учетом обоснованных предложений региональной палаты предпринимателей.

Информация о неисполнении государственными органами планов по пересмотру действующих регуляторных инструментов и (или) требований, ужесточения регулирования выносится на рассмотрение межведомственной комиссии по вопросам регулирования предпринимательской деятельности.

2-1. Регуляторный инструмент и (или) требование, ужесточение регулирования в отношении субъектов предпринимательства могут быть отменены или пересмотрены на основании предложений уполномоченного органа по предпринимательству, внесенных по итогам рассмотрения предложений Уполномоченного по защите прав предпринимателей Казахстана.

В случае, предусмотренном частью первой настоящего пункта, государственные органы должны предварительно провести процедуру анализа регуляторного воздействия в соответствии с настоящей статьей.

3. По результатам анализа регуляторного воздействия в зависимости от эффективности применения регуляторного инструмента регуляторный инструмент может быть отменен или иным образом пересмотрен.

Регуляторный инструмент подлежит отмене в случае недостижения целей государственного регулирования предпринимательской деятельности, заявленных при его введении.

4. Анализ регуляторного воздействия проводится государственными органами в отношении проектов документов, предусмотренных пунктом 2 статьи 80 настоящего Кодекса, а также уполномоченным органом по предпринимательству, Национальной палатой и другими заинтересованными лицами в порядке, определяемом уполномоченным органом по предпринимательству.

При этом анализ регуляторного воздействия проводится регулирующими государственными органами, за исключением актов регионального значения, в отношении которых анализ регуляторного воздействия проводится их разработчиками.

5. Проведение анализа регуляторного воздействия является обязательным условием введения нового регуляторного инструмента и (или) требования, ужесточения регулирования.

6. Уполномоченный орган по предпринимательству:

1) рассматривает результаты анализа регуляторного воздействия и дает заключение о соблюдении регулирующими государственными органами, Национальной палатой и другими заинтересованными лицами установленных процедур, за исключением проектов актов регионального значения;

2) в случае несогласия с выводами анализа регуляторного воздействия проводит альтернативный анализ регуляторного воздействия.

3) при формировании и ведении реестра обязательных требований в сфере предпринимательства обеспечивает подтверждение соответствия нормативного правового акта или иного документа, содержащего в соответствии с законодательством Республики Казахстан обязательные требования, проекта нормативного правового акта Республики Казахстан, проекта документа Системы государственного планирования в Республике Казахстан или проекта иного документа, содержащего в соответствии с законодательством Республики Казахстан обязательные требования, требованиям статей 9, 11, 80, 81-1 и 82 настоящего Кодекса.

7. Местный исполнительный орган области, города республиканского значения, столицы, осуществляющий руководство в сфере предпринимательства:

1) рассматривает результаты анализа регуляторного воздействия и дает заключение о соблюдении разработчиками проектов актов регионального значения, региональной палатой и другими заинтересованными лицами установленных процедур;

2) в случае несогласия с выводами анализа регуляторного воздействия проводит альтернативный анализ регуляторного воздействия.

Результаты анализа регуляторного воздействия выносятся на рассмотрение консультативно-совещательного органа при акимате области, города республиканского значения, столицы по вопросам межведомственного характера, образуемого в соответствии с Законом Республики Казахстан "О местном государственном управлении и самоуправлении в Республике Казахстан", одобрение которых является обязательным условием для введения нового регуляторного инструмента и (или) требования, ужесточения регулирования.

8. Результаты анализа регуляторного воздействия и альтернативного анализа регуляторного воздействия размещаются на общедоступных интернет-ресурсах.

Сноска. Статья 83 в редакции Закона РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); с изменениями, внесенными законами РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.01.2022 № 101-VII (вводятся в действие с 01.05.2022); от 05.11.2022 № 157-VII (вводится в действие с 01.01.2023).

Статья 83-1. Реестр обязательных требований в сфере предпринимательства

Примечание ИЗПИ!
Пункт 1 предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1. Под реестром обязательных требований в сфере предпринимательства (далее – реестр требований) понимается общедоступная база данных регуляторных актов в разрезе сфер регулирования предпринимательской деятельности.

Под регуляторными актами для целей настоящей статьи понимаются действующие нормативные правовые акты, а также иные документы, содержащие в соответствии с законодательством Республики Казахстан требования, обязательные для исполнения субъектами предпринимательства.

Реестр требований решает следующие задачи:

1) обеспечение соответствия требований условиям их формирования, предусмотренным настоящим Кодексом, и принципам взаимодействия субъектов предпринимательства и государства;

2) обеспечение информированности субъектов предпринимательства об исчерпывающем перечне требований, обязательных для осуществления ими деятельности.

Примечание ИЗПИ!
Пункт 2 предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2. В реестр требований включаются регуляторные акты, содержащие требования, обязательные для исполнения субъектами предпринимательства, в соответствующих сферах регулирования за исключением международных договоров Республики Казахстан.

В реестр требований включаются регуляторные акты для последующего проведения их анализа на предмет оценки их эффективности, в том числе достижения заявленных целей государственного регулирования и соответствия условиям формирования обязательных требований, предусмотренным настоящим Кодексом, и принципам взаимодействия субъектов предпринимательства и государства.

Сферы регулирования предпринимательской деятельности, в которых регуляторные акты подлежат включению в реестр требований, определяются Правительством Республики Казахстан на основании рекомендаций межведомственной комиссии по вопросам регулирования предпринимательской деятельности.

Примечание ИЗПИ!
Пункт 3 предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3. Регуляторные акты включаются в реестр требований по представлению регулирующих государственных органов, применяющих их при регулировании предпринимательской деятельности, в соответствии с правилами ведения реестра обязательных требований в сфере предпринимательства.

В представлении регулирующие государственные органы определяют по согласованию с уполномоченным органом по предпринимательству сроки проведения последующего анализа регуляторных актов.

Примечание ИЗПИ!
Пункт 4 предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4. Анализ регуляторных актов осуществляется в соответствии с правилами проведения и использования анализа регуляторного воздействия регуляторных инструментов и (или) требований.

5. Регуляторные акты включаются в реестр требований следующим образом:

1) законы Республики Казахстан – постатейно;

2) иные нормативные правовые акты Республики Казахстан и иные документы – по наименованиям этих актов или документов с указанием их реквизитов.

6. В случае, если регулирующий государственный орган своевременно не провел анализ регуляторного акта, данный акт исключается из реестра требований.

Регулирующий государственный орган в целях недопущения привлечения предпринимателей к ответственности за нарушение требований, не соответствующих статье 81-1 настоящего Кодекса, должен отменить (признать утратившими силу) либо внести изменения и (или) дополнения в регуляторные акты в случае отсутствия и (или) исключения их из реестра требований:

1) в течение шести месяцев со дня исключения из реестра требований либо выявления факта отсутствия в реестре требований – по требованиям, предусмотренным законодательными актами Республики Казахстан;

2) в течение трех месяцев со дня исключения из реестра требований либо выявления факта отсутствия в реестре требований – по иным нормативным правовым актам и документам.

Примечание ИЗПИ!
В часть третью пункта 3 предусмотрено изменение РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

В случае нарушения сроков, предусмотренных подпунктами 1) и 2) части второй настоящего пункта, несоблюдение субъектами предпринимательства требований соответствующих регуляторных актов не может являться основанием для привлечения их к административной ответственности.

7. Формирование и ведение реестра требований осуществляются уполномоченным органом по предпринимательству.

Сноска. Глава 7 дополнена статьей 83-1 в соответствии с Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 84. Компетенция Правительства Республики Казахстан в области государственного регулирования предпринимательства

1. К компетенции Правительства Республики Казахстан относятся:

1) утверждение правил ведения и использования реестра субъектов предпринимательства;

1-1) разработка основных направлений государственной политики в области государственного регулирования предпринимательства;

1-2) исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

1-3) определение сфер регулирования предпринимательской деятельности, регуляторные акты которых подлежат включению в реестр требований;

2) исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
3) исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
4) исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
2. Исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Сноска. Статья 84 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (порядок введения в действие см. ст. 2); от 30.12.2020 № 397-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023); от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 85. Уполномоченный орган по предпринимательству и его компетенция в области государственного регулирования предпринимательства

1. Уполномоченным органом по предпринимательству является государственный орган, осуществляющий руководство и межотраслевую координацию в области развития и поддержки частного предпринимательства.

2. Уполномоченный орган по предпринимательству:

1) информирует Президента Республики Казахстан и Правительство Республики Казахстан о нарушениях законодательства Республики Казахстан, регламентирующего деятельность субъектов предпринимательства, допускаемых государственными органами и их должностными лицами;

1-1) формирует и реализует государственную политику в области государственного регулирования предпринимательства;

2) осуществляет координацию системы оценки рисков государственных органов путем совместного утверждения критериев оценки рисков, проверочных листов, разрабатываемых уполномоченными государственными органами;

3) разрабатывает и утверждает формы проверочных листов;

3-1) взаимодействует с уполномоченным органом в области правовой статистики и специальных учетов по обмену информацией по учету проверок и профилактического контроля и надзора органов контроля и надзора;

4) ведет реестр субъектов предпринимательства;

4-1) ведет реестр субъектов социального предпринимательства;

5) разрабатывает правила ведения и использования реестра субъектов предпринимательства;

5-1) утверждает правила ведения реестра обязательных требований в сфере предпринимательства;

5-2) разрабатывает и утверждает правила формирования регулирующими государственными органами системы оценки и управления рисками;

6) утверждает правила расчета среднегодовой численности работников и среднегодового дохода;

Примечание ИЗПИ!
В подпункт 7) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

7) разрабатывает и утверждает правила проведения и использования анализа регуляторного воздействия регуляторных инструментов и (или) требований;

8) Исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

9) оказывает методическую помощь и координирует деятельность регулирующих государственных органов по вопросам осуществления анализа регуляторного воздействия;

10) рассматривает отчеты местных исполнительных органов области, города республиканского значения, столицы, осуществляющих руководство в сфере предпринимательства, о состоянии работы по анализу регуляторного воздействия;

10-1) обеспечивает деятельность межведомственной комиссии по вопросам регулирования предпринимательской деятельности;

11) организует обучение государственных служащих и иных лиц по вопросам внедрения и осуществления анализа регуляторного воздействия;

12) проводит альтернативный анализ регуляторного воздействия;

13) разрабатывает проект годового отчета о состоянии регулирования предпринимательской деятельности в Республике Казахстан;

13-1) разрабатывает и утверждает перечень информационных инструментов;

13-2) исключен Законом РК от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
13-3) исключен Законом РК от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

13-4) разрабатывает перечень объектов информатизации государственных органов и организаций, подлежащих интеграции с реестром бизнес-партнеров по согласованию с Национальной палатой предпринимателей Республики Казахстан;

14) осуществляет контроль в области поддержки и защиты субъектов частного предпринимательства.

3. Уполномоченный орган по предпринимательству осуществляет иные полномочия, предусмотренные настоящим Кодексом, иными законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Статья 85 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 24.06.2021 № 52-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2021 № 95-VII (порядок введения в действие см ст.2); от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Примечание ИЗПИ!
Главу 7 предусмотрено дополнить статьями 85-1 и 85-2 в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 86. Регулирующие государственные органы и их компетенция в области государственного регулирования предпринимательства

1. Регулирующими государственными органами являются:

1) государственные органы, осуществляющие руководство в отдельной отрасли или сфере государственного управления, в которой осуществляется государственный контроль и надзор;

2) государственные органы, осуществляющие руководство в отдельной отрасли или сфере государственного управления, в которой введены или планируются к введению регуляторный инструмент и (или) требование, ужесточение регулирования в отношении субъектов предпринимательства.

2. К компетенции регулирующих государственных органов, осуществляющих руководство в отдельной отрасли или сфере государственного управления, в которой осуществляется государственный контроль и надзор, относятся:

1) реализация государственной политики в области государственного контроля и надзора в соответствующей отрасли (сфере), в которой осуществляется государственный контроль и надзор;

Примечание ИЗПИ!
В поддпункт 2) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2) утверждение в пределах своей компетенции нормативных правовых актов, предусмотренных пунктом 1 статьи 143 настоящего Кодекса, а также полугодовых графиков проведения проверок;

3) организация государственного контроля и надзора в соответствии с законами Республики Казахстан;

4) осуществление мониторинга эффективности государственного контроля и надзора;

4-1) рассмотрение предложений уполномоченного органа в области правовой статистики и специальных учетов по совершенствованию проведения государственного контроля и надзора и принятие решений, в том числе путем внесения изменений и дополнений в нормативные правовые акты Республики Казахстан;

5) осуществление иных функций, предусмотренных настоящим Кодексом, законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

3. К компетенции регулирующих государственных органов, осуществляющих руководство в отдельной отрасли или сфере государственного управления, в которой введены или планируются к введению регуляторный инструмент и (или) требование, ужесточение регулирования в отношении субъектов предпринимательства, относятся:

1) представление в уполномоченный орган по предпринимательству отчетов о состоянии регулирования предпринимательской деятельности;

2) осуществление иных полномочий, предусмотренных настоящим Кодексом, иными законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Статья 86 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2021 № 95-VII (порядок введения в действие см ст.2).

Статья 87. Органы контроля и надзора и их компетенция в области государственного регулирования предпринимательства

1. Органами контроля и надзора являются государственные органы, их ведомства и территориальные подразделения, а также местные исполнительные органы, осуществляющие наблюдение и проверку на предмет соответствия деятельности проверяемых субъектов требованиям, установленным законодательством Республики Казахстан в соответствии с пунктом 2 статьи 132 настоящего Кодекса.

2. К компетенции органов контроля и надзора относятся:

1) реализация государственной политики в области государственного контроля и надзора в соответствующей сфере;

2) разработка в пределах своей компетенции нормативных правовых актов, предусмотренных пунктом 1 статьи 143 настоящего Кодекса, а также полугодовых графиков проведения проверок;

3) проведение государственного контроля и надзора в соответствии с законами Республики Казахстан;

4) проведение мониторинга эффективности государственного контроля и надзора;

5) внесение предложений по совершенствованию проведения государственного контроля и надзора;

6) осуществление иных функций, предусмотренных настоящим Кодексом и иными законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Статья 87 с изменением, внесенным Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 88. Компетенция антимонопольного органа в области государственного регулирования предпринимательства

Сноска. Статья 88 исключена Законом РК от 28.12.2016 № 34-VІ (вводится в действие с 01.01.2017).

Статья 89. Компетенция иных государственных органов в области государственного регулирования предпринимательства

Государственные органы в пределах своей компетенции в области государственного регулирования предпринимательства:

1) участвуют в формировании и реализации государственной политики в области государственного регулирования предпринимательства;

2) осуществляют иные полномочия, предусмотренные настоящим Кодексом, иными законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Статья 90. Компетенция местных исполнительных органов в области государственного регулирования предпринимательства

Местные исполнительные органы Республики Казахстан осуществляют:

Примечание ИЗПИ!
Подпункт 1) предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие с 31.12.2025).

1) в пределах своей компетенции утверждение предельно допустимых розничных цен на социально значимые продовольственные товары;

2) разрешительные процедуры, прием уведомлений в соответствии с законодательством Республики Казахстан о разрешениях и уведомлениях;

2-1) проведение альтернативного анализа регуляторного воздействия;

2-2) представление в уполномоченный орган по предпринимательству отчетов о состоянии работы по анализу регуляторного воздействия;

2-3) организацию и проведение Единого дня отчета;

2-4) Исключен Законом РК от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
2-5) Исключен Законом РК от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

3) в интересах местного государственного управления иные полномочия, возлагаемые на местные исполнительные органы законодательством Республики Казахстан.

Сноска. Статья 90 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2020 № 397-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 7-1. Антимонопольный орган и его полномочия

Сноска. Кодекс дополнен главой 7-1 в соответствии с Законом РК от 28.12.2016 № 34-VІ (порядок введения в действие см. ст. 2).

Статья 90-1. Система антимонопольного органа

1. Единую систему антимонопольного органа составляют центральный государственный орган и подчиненные ему территориальные подразделения.

2. Территориальные подразделения осуществляют свою деятельность в пределах полномочий, установленных законодательством Республики Казахстан, и положения, утвержденного центральным государственным органом.

Сноска. Статья 90-1 с изменениями, внесенными Законом РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 90-2. Задачи антимонопольного органа

Задачами антимонопольного органа являются:

1) содействие развитию добросовестной конкуренции;

2) предупреждение, выявление и расследование, пресечение нарушений законодательства Республики Казахстан в области защиты конкуренции;

3) регулирование экономической концентрации;

4) демонополизация субъектов рынка, ограничивающих конкуренцию.

Сноска. Статья 90-2 с изменением, внесенным Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 90-3. Руководство антимонопольным органом

Руководство антимонопольным органом осуществляется его первым руководителем.

Сноска. Статья 90-3 - в редакции Закона РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 90-4. Взаимодействие антимонопольного органа с антимонопольными органами других государств

1. В рамках Евразийского экономического союза антимонопольный орган осуществляет взаимодействие с антимонопольными органами государств-участников Евразийского экономического союза в соответствии с международными договорами, в том числе путем направления уведомлений, запросов о предоставлении информации, проведения консультаций, информирования о расследованиях в соответствии с порядком, установленным законодательством Республики Казахстан.

2. Антимонопольный орган в рамках участия в международных организациях вправе направлять запросы в антимонопольные органы иных государств и предоставлять информацию по их запросам.

Статья 90-5. Взаимодействие антимонопольного и правоохранительных органов

1. Антимонопольный орган осуществляет взаимодействие с правоохранительными органами Республики Казахстан в пределах своих полномочий в следующих формах:

1) информирует правоохранительные органы о выявленных фактах правонарушений в области защиты конкуренции;

2) по запросу правоохранительных органов предоставляет аналитическую информацию о состоянии конкуренции на товарных рынках;

3) в пределах своей компетенции проводит по запросам правоохранительных органов экспертизы и дает заключения по вопросам законодательства Республики Казахстан в области защиты конкуренции;

4) по постановлениям и запросам правоохранительных органов, их территориальных подразделений направляет в качестве экспертов своих работников для участия в процессуальных действиях и мероприятиях по расследованию нарушений законодательства Республики Казахстан в области защиты конкуренции.

2. Правоохранительные органы Республики Казахстан осуществляют взаимодействие с антимонопольным органом в пределах своих полномочий в следующих формах:

1) информируют антимонопольный орган о выявленных правонарушениях законодательства Республики Казахстан в области защиты конкуренции;

2) по запросам и обращениям антимонопольного органа:

направляют сотрудников для проведения совместных мероприятий по расследованию нарушений законодательства Республики Казахстан в области защиты конкуренции, а также пресечения противоправных действий, препятствующих исполнению служебных обязанностей работниками антимонопольного органа;

принимают меры по установлению мест нахождения нарушителей законодательства Республики Казахстан в области защиты конкуренции и их доставлению в антимонопольный орган для привлечения к административной ответственности согласно письменным запросам антимонопольного органа в порядке, установленном Кодексом Республики Казахстан об административных правонарушениях;

в порядке, установленном Уголовно-процессуальным кодексом Республики Казахстан, принимают решения о проведении досудебного расследования по представляемым антимонопольным органом материалам с признаками уголовно наказуемых антиконкурентных действий, о чем информируют антимонопольный орган;

оказывают практическую помощь антимонопольному органу в обнаружении и закреплении доказательств нарушений законодательства Республики Казахстан в области защиты конкуренции.

Статья 90-6. Компетенция антимонопольного органа

Антимонопольный орган:

1) осуществляет реализацию государственной политики в области защиты конкуренции и ограничения монополистической деятельности;

2) осуществляет межотраслевую координацию государственных органов и иных организаций в области защиты конкуренции и ограничения монополистической деятельности;

3) осуществляет международное сотрудничество по вопросам защиты конкуренции и ограничения монополистической деятельности;

4) осуществляет государственный контроль за соблюдением законодательства Республики Казахстан в области защиты конкуренции;

5) пресекает акты, действия (бездействие) государственных, местных исполнительных органов, организаций, наделенных государством функциями регулирования деятельности субъектов рынка, направленные на ограничение и (или) устранение конкуренции;

6) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

6-1) рассматривает ходатайства о получении согласия на экономическую концентрацию;

7) предупреждает и устраняет злоупотребления доминирующим или монопольным положением на соответствующем товарном рынке, за исключением нарушений, предусмотренных законодательством Республики Казахстан о естественных монополиях;

7-1) разрабатывает и утверждает правила оказания обязательных услуг субъектами естественных монополий и квазигосударственного сектора в рамках защиты конкуренции и ограничения монополистической деятельности;

8) предотвращает и пресекает антиконкурентные соглашения и согласованные действия субъектов рынка, недобросовестную конкуренцию;

9) согласовывает нормативные правовые акты в области защиты конкуренции, ограничения монополистической деятельности и функционирования товарных рынков;

10) осуществляет распространение информации о применении норм законодательства Республики Казахстан в области защиты конкуренции и пропаганду добросовестной конкуренции;

11) осуществляет анализ состояния конкуренции на товарных рынках;

Примечание ИЗПИ!
Подпункт 12) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

12) осуществляет анализ и мониторинг деятельности субъектов рынка, занимающих доминирующее или монопольное положение на соответствующем товарном рынке;

13) Исключен Законом РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

14) разрабатывает и утверждает методику анализа общественно значимых рынков;

15) разрабатывает и утверждает методики по проведению обследования товарных рынков, на которых будут создаваться государственные предприятия и юридические лица, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированные с ними юридические лица и (или) осуществляться ими дополнительные виды деятельности, в отношении государственных предприятий и юридических лиц, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат Национальному Банку Республики Казахстан, и аффилированных с ними юридических лиц – по согласованию с Национальным Банком Республики Казахстан;

16) разрабатывает и утверждает методику оценки экономической концентрации на товарных рынках;

17) разрабатывает и утверждает методику оценки экономической концентрации на финансовых рынках по согласованию с уполномоченным органом по регулированию, контролю и надзору финансового рынка и финансовых организаций;

18) выявляет монопольно высокую (низкую), монопсонически низкую цену, установленную субъектом рынка, занимающим доминирующее или монопольное положение;

19) утверждает методики по выявлению монопольно высокой (низкой) и монопсонически низкой цены;

20) проводит расследования по фактам нарушения законодательства Республики Казахстан в области защиты конкуренции субъектами рынка, государственными, местными исполнительными органами, организациями, наделенными государством функциями регулирования деятельности субъектов рынка, в порядке, установленном настоящим Кодексом;

20-1) разрабатывает и утверждает правила проведения мониторинга деятельности государственных предприятий, юридических лиц, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированных с ними лиц на предмет получения согласия антимонопольного органа при создании, расширении и (или) изменении осуществляемых видов деятельности, а также осуществления исключительно тех видов деятельности, на которые получено согласие антимонопольного органа;

20-2) осуществляет мониторинг деятельности государственных предприятий, юридических лиц, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированных с ними лиц на предмет получения согласия антимонопольного органа при создании, расширении и (или) изменении осуществляемых видов деятельности, а также осуществления исключительно тех видов деятельности, на которые получено согласие антимонопольного органа;

21) запрашивает и получает в порядке, установленном законами Республики Казахстан, от государственных органов, в том числе уполномоченного органа в области государственной статистики, органов государственных доходов, субъектов рынка, а также должностных и иных физических и юридических лиц информацию, необходимую для осуществления полномочий, предусмотренных настоящим Кодексом, в том числе сведения, составляющие коммерческую и иную охраняемую законом тайну, за исключением банковской тайны, тайны страхования и коммерческой тайны на рынке ценных бумаг;

22) выносит субъектам рынка обязательные для исполнения предписания о:

прекращении нарушений норм настоящего Кодекса и (или) устранении их последствий;

восстановлении первоначального положения;

расторжении или изменении договоров, противоречащих настоящему Кодексу;

необходимости отмены сделок путем расторжения или признания их недействительными при регулировании экономической концентрации;

заключении договора с иным субъектом рынка в случае, если нарушением является необоснованный отказ или уклонение от заключения договора с определенными продавцами (поставщиками) либо покупателями;

23) вносит государственным, местным исполнительным органам, организациям, наделенным государством функциями регулирования деятельности субъектов рынка, обязательные для исполнения предписания об отмене или изменении принятых ими актов, устранении нарушений, а также расторжении, отмене или изменении заключенных ими соглашений и сделок, противоречащих настоящему Кодексу, и совершении действий, направленных на обеспечение конкуренции;

24) рассматривает дела об административных правонарушениях и налагает административные взыскания в порядке, установленном Кодексом Республики Казахстан об административных правонарушениях, участвует в суде по рассмотрению дел о нарушениях законодательства Республики Казахстан в области защиты конкуренции;

25) направляет в правоохранительные органы материалы для проведения досудебного расследования по признакам уголовных правонарушений, связанных с нарушением законодательства Республики Казахстан в области защиты конкуренции;

26) ежегодно не позднее 1 июня направляет Президенту Республики Казахстан и Премьер-Министру Республики Казахстан годовой отчет о состоянии конкуренции на отдельных товарных рынках и принимаемых мерах по ограничению монополистической деятельности, а также размещает его на своем интернет-ресурсе;

27) ежегодно не позднее 5 января года, следующего за отчетным, направляет в Правительство Республики Казахстан предложения по передаче в конкурентную среду государственных предприятий, юридических лиц, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированных с ними юридических лиц, и предложения по актуализации перечня видов деятельности, осуществляемых государственными предприятиями, юридическими лицами, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированными с ними юридическими лицами;

28) обеспечивает информационную открытость проводимой государственной политики в области защиты конкуренции и ограничения монополистической деятельности, в том числе ежеквартально не позднее пятнадцатого числа месяца, следующего за отчетным, размещает сведения о своей деятельности в средствах массовой информации, в том числе на своем интернет-ресурсе;

29) проводит экспертизу цен на товары, производимые и (или) реализуемые субъектом государственной монополии, специального права;

30) в порядке, установленном законодательством Республики Казахстан, обращается в правоохранительные органы о проведении оперативно-розыскных мероприятий;

31) направляет должностному лицу субъекта рынка, государственного, местного исполнительного органа, организации, наделенной государством функциями регулирования деятельности субъектов рынка, предостережение в письменной форме о недопустимости совершения действия (бездействия), которое может привести к нарушению законодательства Республики Казахстан в области защиты конкуренции;

32) размещает на своем интернет-ресурсе анализ состояния конкуренции на товарных рынках, за исключением информации, содержащей государственные секреты и иную охраняемую законом тайну;

33) направляет субъектам рынка, государственным, местным исполнительным органам, организациям, наделенным государством функциями регулирования деятельности субъектов рынка, уведомление о наличии в действиях (бездействии) субъекта рынка, государственного, местного исполнительного органа, организации, наделенной государством функциями регулирования деятельности субъектов рынка, признаков нарушения законодательства Республики Казахстан в области защиты конкуренции;

34) дает официальное разъяснение нормативных правовых актов в области защиты конкуренции, принятых антимонопольным органом;

35) разрабатывает и утверждает правила рассмотрения проектов соглашений субъектов рынка на предмет соответствия или несоответствия требованиям законодательства Республики Казахстан в области защиты конкуренции;

36) разрабатывает и утверждает для субъектов рынка типовые внешние акты антимонопольного комплаенса;

37) устанавливает соответствие внешнего акта антимонопольного комплаенса, направляемого субъектом рынка (субъектами рынка), нормам законодательства Республики Казахстан в области защиты конкуренции;

38) размещает на своем интернет-ресурсе информацию о результатах расследований нарушений законодательства Республики Казахстан в области защиты конкуренции, решения антимонопольного органа;

39) подает иски в суд о расторжении, изменении договоров и (или) признании недействительными сделок, противоречащих настоящему Кодексу;

39-1) Исключен Законом РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

39-2) разрабатывает и утверждает порядок проведения мониторинга цен на товарных рынках с целью установления признаков нарушения законодательства Республики Казахстан в области защиты конкуренции ;

39-3) осуществляет мониторинг цен на товарных рынках с целью установления признаков нарушения законодательства Республики Казахстан в области защиты конкуренции ;

39-4) осуществляет мониторинг деятельности лиц, оказывающих меры государственной поддержки, на предмет соблюдения требований, предусмотренных статьей 194 настоящего Кодекса, за исключением деятельности государственных органов и юридических лиц по реализации комплекса антикризисных мероприятий для поддержки экономики, стимулирования деловой активности и занятости населения, инициированных по поручению Президента Республики Казахстан;

39-5) согласовывает в порядке, установленном законодательством Республики Казахстан, бизнес-план к республиканскому проекту государственно-частного партнерства, инвестиционное предложение республиканского государственного инвестиционного проекта, конкурсную (аукционную) документацию республиканского проекта государственно-частного партнерства, в том числе при внесении в них изменений и (или) дополнений в части, относящейся в области защиты конкуренции и ограничения монополистической деятельности, по проектам, предусматривающим обеспечение частными партнерами реализации государственных функций;

40) осуществляет иные полномочия, предусмотренные настоящим Кодексом, иными законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Статья 90-6 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (порядок введения в действие см. ст. 2); от 03.07.2019 № 262-VI (вводится в действие с 01.01.2020); от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.01.2022 № 101-VII (порядок введения в действие см. ст. 2); от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 90-7. Права сотрудников антимонопольного органа

Сотрудники антимонопольного органа при исполнении служебных обязанностей, в том числе рассмотрении заявлений о нарушении законодательства Республики Казахстан в области защиты конкуренции, расследовании дел о нарушении законодательства Республики Казахстан в области защиты конкуренции, регулировании экономической концентрации и определении состояния уровня конкуренции, в соответствии с возложенными на них полномочиями при предъявлении ими служебных удостоверений либо идентификационных карт и решения антимонопольного органа о проведении расследования нарушений законодательства Республики Казахстан в области защиты конкуренции имеют право:

1) получать беспрепятственный доступ в помещения и на территории государственных органов и субъектов рынка с соблюдением требований законодательства Республики Казахстан;

2) запрашивать и получать письменную информацию в сроки, установленные антимонопольным органом, которые не могут быть менее пяти рабочих дней, от государственных, местных исполнительных органов, субъектов рынка, должностных и иных физических и юридических лиц, а также письменные и (или) устные объяснения по фактам допущенных нарушений законодательства Республики Казахстан в области защиты конкуренции.

В случае необходимости дополнительных временных затрат лица, указанные в части первой настоящего подпункта, вправе обратиться в антимонопольный орган с мотивированным заявлением о продлении срока предоставления информации по запросу.

Решение о продлении срока предоставления информации по запросу или об отказе в продлении принимается в течение двух рабочих дней с момента получения мотивированного заявления;

3) осуществлять иные полномочия, установленные законодательством Республики Казахстан.

Сноска. Статья 90-7 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 26.11.2019 № 273-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 90-8. Обеспечение соблюдения коммерческой, служебной и иной охраняемой законом тайны

1. Информация, составляющая коммерческую, служебную и иную охраняемую законом тайну, полученная антимонопольным органом при осуществлении своих полномочий, не подлежит разглашению, за исключением случаев, установленных законами Республики Казахстан.

2. За разглашение информации, составляющей коммерческую, служебную и иную охраняемую законом тайну, сотрудники антимонопольного органа несут ответственность, установленную законами Республики Казахстан.

3. Вред, причиненный физическому или юридическому лицу в результате разглашения антимонопольным органом либо его должностными лицами информации, составляющей коммерческую, служебную и иную охраняемую законом тайну, подлежит возмещению в соответствии с гражданским законодательством Республики Казахстан.

Глава 8. ГОСУДАРСТВЕННАЯ ПОДДЕРЖКА ЧАСТНОГО ПРЕДПРИНИМАТЕЛЬСТВА

Статья 91. Понятие государственной поддержки частного предпринимательства

Под государственной поддержкой частного предпринимательства понимается комплекс государственных мер по стимулированию развития частного предпринимательства, созданию благоприятных правовых, экономических условий для реализации предпринимательской инициативы в Республике Казахстан.

Статья 92. Основные направления государственной поддержки частного предпринимательства

1. Государственная поддержка частного предпринимательства осуществляется по следующим основным направлениям:

1) малое и среднее предпринимательство, в том числе социальное предпринимательство;

2) агропромышленный комплекс и несельскохозяйственные виды предпринимательской деятельности в сельской местности;

3) государственное стимулирование промышленности;

3-1) инновационная деятельность;

4) специальные экономические зоны;

4-1) индустриальные зоны;

5) инвестиционная деятельность;

6) предпринимательство отечественных производителей товаров;

6-1) деятельность субъектов частного предпринимательства в сфере креативных индустрий;

7) жилищное строительство.

8) обращение с отходами.

9) туристская деятельность.

2. Государственная поддержка частного предпринимательства может осуществляться также по иным направлениям в случаях, установленных законодательством Республики Казахстан.

Сноска. Статья 92 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 24.06.2021 № 52-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.01.2021 № 401-VI (вводится в действие с 01.07.2021); от 30.04.2021 № 34-VII (вводится в действие с 01.01.2022); от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 93. Основные виды государственной поддержки частного предпринимательства

1. Государственная поддержка частного предпринимательства включает следующие основные виды государственной поддержки частного предпринимательства:

1) финансовая и имущественная поддержка;

2) инфраструктурная поддержка;

3) институциональная поддержка, заключающаяся в создании и развитии финансовых институтов поддержки и развития частного предпринимательства, научно-исследовательских институтов при государственных органах по изучению проблем и разработке предложений по развитию частного предпринимательства;

4) нефинансовая поддержка.

2. Государственная поддержка частного предпринимательства предусматривает иные виды государственной поддержки частного предпринимательства, установленные настоящим Кодексом и законодательством Республики Казахстан.

Сноска. Статья 93 с изменениями, внесенными Законом РК от 04.07.2018 № 174-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 06.04.2024 № 71-VIII (вводятся в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 94. Финансовая и имущественная поддержка частного предпринимательства

1. Финансовая и имущественная поддержка частного предпринимательства осуществляется путем:

1) закупа гарантированного объема товаров (работ, услуг);

2) предоставления займов за счет бюджетных средств;

3) организации кредитования через банки второго уровня, национальные институты развития и иные юридические лица в соответствии с законодательством Республики Казахстан;

4) выдачи государственных и инвестиционных грантов;

5) субсидирования ставки вознаграждения по выдаваемым кредитам и совершаемым лизинговым сделкам банками второго уровня, Банком Развития Казахстана и иными юридическими лицами, осуществляющими лизинговую деятельность, субъектам частного предпринимательства;

5-1) субсидирования ставки вознаграждения по выдаваемым кредитам банками второго уровня субъектам частного предпринимательства для целей жилищного строительства в порядке, определяемом уполномоченным органом по делам архитектуры, градостроительства и строительства;

5-2) субсидирования ставки вознаграждения по выдаваемым кредитам банками второго уровня субъектам частного предпринимательства для целей реализации "зеленых" проектов;

6) субсидирования ставки вознаграждения по выдаваемым микрокредитам микрофинансовыми организациями субъектам частного предпринимательства;

6-1) субсидирования ставки купонного вознаграждения по облигациям, выпущенным субъектами частного предпринимательства в соответствии с законодательством Республики Казахстан и включенным в список фондовой биржи, осуществляющей деятельность на территории Республики Казахстан;

6-2) субсидирования ставки купонного вознаграждения по "зеленым" облигациям, в том числе выпущенным в соответствии с актами Международного финансового центра "Астана" и включенным в список биржи Международного финансового центра "Астана";

7) возмещения и (или) субсидирования расходов и (или) затрат;

8) частичного гарантирования кредитов субъектов частного предпринимательства;

8-1) частичного гарантирования финансового лизинга субъектов частного предпринимательства;

8-2) частичного гарантирования по облигациям эмитентов, в том числе "зеленым" облигациям, включенным в список фондовой биржи, осуществляющей деятельность на территории Республики Казахстан, и в официальный список фондовой биржи Международного финансового центра "Астана";

9) лизинга;

10) предоставления иных мер финансовой и имущественной поддержки частного предпринимательства, установленных настоящим Кодексом и законодательством Республики Казахстан.

2. Порядок, формы государственной финансовой поддержки, отрасль (отрасли) экономики, в которой (которых) осуществляют деятельность субъекты частного предпринимательства, подлежащие государственной финансовой поддержке, юридическое (юридические) лицо (лица), привлекаемое (привлекаемые) для оказания государственной финансовой поддержки, размеры финансовой поддержки и другие условия, необходимые для оказания государственной финансовой поддержки, утверждаются уполномоченными органами соответствующих отраслей по согласованию с уполномоченным органом по предпринимательству.

3. Порядок, формы, размеры поддержки и другие условия, необходимые для оказания государственной финансовой и имущественной поддержки субъектам частного предпринимательства, предоставляемой в различных отраслях экономики, которые относятся к компетенциям нескольких отраслевых государственных органов, утверждаются Правительством Республики Казахстан.

Сноска. Статья 94 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.01.2021 № 401-VI (вводится в действие с 01.07.2021); от 12.07.2022 № 138-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования); от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 06.04.2024 № 71-VIII (вводятся в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 95. Специальный фонд развития частного предпринимательства

1. Финансовую поддержку инициатив субъектов частного предпринимательства со стороны государства осуществляет в том числе специальный фонд развития предпринимательства, созданный по решению Правительства Республики Казахстан, контрольный пакет акций которого принадлежит национальному управляющему холдингу (далее – специальный фонд).

Основной целью деятельности специального фонда является содействие качественному развитию частного предпринимательства в Республике Казахстан посредством предоставления финансовой и нефинансовой поддержки частного предпринимательства.

Основными задачами специального фонда являются:

1) развитие деятельности микрофинансовых организаций;

2) создание системы гарантирования обязательств субъектов частного предпринимательства при получении ими кредитов, микрокредитов, лизинга в банках второго уровня и иных юридических лицах, а также системы гарантирования по облигациям эмитентов, в том числе "зеленым" облигациям, включенным в список фондовой биржи, осуществляющей деятельность на территории Республики Казахстан, и официальный список фондовой биржи Международного финансового центра "Астана";

3) развитие финансового лизинга;

4) обучение и консалтинг по вопросам осуществления частного предпринимательства, в том числе финансовой и имущественной поддержки частного предпринимательства;

5) информационно-аналитическая поддержка по вопросам частного предпринимательства;

6) финансирование субъектов частного предпринимательства путем обусловленного размещения средств в банках второго уровня и иных юридических лицах, а также иными способами, прямо предусмотренными законодательством Республики Казахстан;

7) субсидирование ставки вознаграждения по выдаваемым кредитам и совершаемым лизинговым сделкам банками второго уровня, Банком Развития Казахстана и иными юридическими лицами, осуществляющими лизинговую деятельность, субъектам частного предпринимательства;

7-1) субсидирование ставки купонного вознаграждения по облигациям, выпущенным субъектами частного предпринимательства в соответствии с законодательством Республики Казахстан и включенным в список фондовой биржи, осуществляющей деятельность на территории Республики Казахстан;

8) пропаганда идей частного предпринимательства;

9) осуществление мониторинга реализации программ поддержки субъектов частного предпринимательства;

10) другие задачи в соответствии с уставом специального фонда.

2. Порядок и условия реализации задач специального фонда определяются национальным управляющим холдингом.

Сноска. Статья 95 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 06.04.2024 № 71-VIII (вводятся в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 96. Нефинансовая поддержка

1. Нефинансовая поддержка осуществляется в целях повышения профессионального уровня субъектов частного предпринимательства и их работников, позволяющего производить конкурентоспособные товары (работы, услуги) и повысить производительность труда, создания благоприятной и конкурентной предпринимательской среды, стимулирования развития предпринимательской инициативы и предпринимательства.

2. Нефинансовая поддержка субъектов частного предпринимательства и населения с предпринимательской инициативой осуществляется за счет бюджетных средств в рамках государственных и иных программ, направленных на поддержку предпринимательства, и иных источников, не запрещенных законодательством Республики Казахстан, путем:

1) организации учебных семинаров-тренингов и научно-практических конференций по развитию частного предпринимательства;

2) организации зарубежных стажировок;

3) распространения методических пособий, информационных бюллетеней о практике осуществления частного предпринимательства, рынке новых технологий;

4) предоставления разъяснений, рекомендаций и иных форм консультаций профессионального уровня;

5) оказания экспертной практической помощи от специалистов различных сфер для разрешения управленческих, финансовых, юридических, кадровых, технологических и иных вопросов, в том числе в формате наставничества;

6) содействия трансферту передовых зарубежных технологий;

7) сервисно-информационной поддержки при продвижении отечественных товаров (работ, услуг) на экспорт;

8) подготовки специалистов для организации обучения субъектов частного предпринимательства;

9) подготовки и распространения аналитической информации (справочников, статистических сборников, справок, информационных писем, отчетов, докладов и иных материалов) для использования в работе субъектами частного предпринимательства и населением с предпринимательской инициативой;

10) определения товаров (продукции) из местных и локальных ресурсов и содействия в их дальнейшем продвижении на внутренний и (или) внешние рынки;

11) проведения мероприятий по популяризации предпринимательства;

12) оказания содействия в налаживании сотрудничества между предпринимателями, а также заинтересованными лицами.

3. Уполномоченный орган по предпринимательству в целях осуществления нефинансовой поддержки на своем интернет-ресурсе размещает следующую информацию:

1) о государственных и иных программах, направленных на поддержку субъектов частного предпринимательства и населения с предпринимательской инициативой, и их реализации;

2) о количестве субъектов частного предпринимательства с классификацией по видам экономической деятельности;

3) об организациях, образующих инфраструктуру поддержки субъектов частного предпринимательства и населения с предпринимательской инициативой, условиях и о порядке оказания такими организациями поддержки субъектам частного предпринимательства и населению с предпринимательской инициативой;

4) о мерах финансовой и нефинансовой поддержки субъектов частного предпринимательства и населения с предпринимательской инициативой;

5) о результатах проведенного анализа предпринимательской среды, инвестиционного климата и инфраструктуры развития частного предпринимательства;

6) о консультативных документах регуляторной политики, проектах нормативных правовых актов и правовых актов в области системы государственного планирования, направленных на обеспечение поддержки развития частного предпринимательства и населения с предпринимательской инициативой;

7) иную необходимую для развития субъектов частного предпринимательства и населения с предпринимательской инициативой информацию, предусмотренную настоящим Кодексом, законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

4. Порядок, формы государственной нефинансовой поддержки, отрасль (отрасли) экономики, в которой (которых) осуществляют деятельность субъекты частного предпринимательства, подлежащие государственной нефинансовой поддержке, юридическое (юридические) лицо (лица), привлекаемое (привлекаемые) для оказания государственной нефинансовой поддержки, и другие условия, необходимые для оказания государственной нефинансовой поддержки, утверждаются уполномоченными органами соответствующих отраслей по согласованию с уполномоченным органом по предпринимательству.

5. Порядок, формы поддержки и другие условия, необходимые для оказания государственной нефинансовой поддержки субъектам частного предпринимательства, предоставляемой в различных отраслях экономики, которые относятся к компетенциям нескольких отраслевых государственных органов, утверждаются Правительством Республики Казахстан.

Сноска. Статья 96 – в редакции Закона РК от 06.04.2024 № 71-VIII (вводятся в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 97. Инфраструктурная поддержка частного предпринимательства

Инфраструктурная поддержка частного предпринимательства обеспечивается путем создания и развития инфраструктуры поддержки субъектов частного предпринимательства и населения с предпринимательской инициативой, под которой понимается комплекс создаваемых или действующих организаций, обеспечивающих общие условия функционирования и развития субъектов частного предпринимательства и населения с предпринимательской инициативой, включая содействие в организации собственного дела, предоставление информации в области права, маркетинга, инжиниринга и менеджмента, поддержку в обеспечении материально-техническими, финансовыми и другими ресурсами на коммерческой основе.

К инфраструктуре поддержки субъектов частного предпринимательства и населения с предпринимательской инициативой относятся центры обслуживания предпринимателей, бизнес-инкубаторы и элементы промышленно-инновационной инфраструктуры, предусмотренные Законом Республики Казахстан "О промышленной политике".

Сноска. Статья 97 в редакции Закона РК от 04.07.2018 № 174-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); с изменением, внесенным от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 06.04.2024 № 71-VIII (вводятся в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 98. Компетенция Правительства Республики Казахстан в области государственной поддержки и развития частного предпринимательства

1. Правительство Республики Казахстан:

В области государственной поддержки и развития частного предпринимательства:

1) разрабатывает основные направления государственной политики в области поддержки и развития частного предпринимательства;

2) формирует государственную систему поддержки частного предпринимательства;

3) определяет порядок оказания государственной поддержки частного предпринимательства;

4) образует и упраздняет консультативно-совещательные органы при Правительстве по вопросам частного предпринимательства;

5) исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
6) исключен Законом РК от 26.12.2018 № 202-VI (вводится в действие с 01.01.2019);
7) исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

8) определяет и реализует государственную политику, стимулирующую создание и совершенствование конкурентоспособных отраслей, развитие субъектов частного предпринимательства и повышение качества производимой ими продукции;

9) разрабатывает нормативные правовые акты, способствующие развитию конкуренции и стимулированию инвестиций в инновации, материальные активы, а также долгосрочных инвестиций;

10) стимулирует создание кластеров в отдельных секторах экономики;

11) исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

12) создает национальные институты развития в целях увеличения инвестиций и ускорения внедрения инноваций в экономику Республики Казахстан;

13) осуществляет временную защиту отдельных отраслей таможенно-тарифными и нетарифными методами с созданием условий для развития конкуренции между субъектами частного предпринимательства в этих отраслях;

14) принимает меры к устранению барьеров, установленных другой страной, в отношении национальных экспортеров;

15) стимулирует субъектов частного предпринимательства на проведение согласованной совместной экспортной политики;

16) исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

17) создает условия для повышения конкурентоспособности национальной продукции путем стимулирования внедрения систем менеджмента качества;

18) создает условия для внешнего спроса путем лоббирования интересов национальных экспортеров на территории других стран;

19) взаимодействует с Национальной палатой и объединениями субъектов частного предпринимательства и работодателей;

20) создает научно-исследовательские организации, финансирует фундаментальные и прикладные научные исследования для решения проблем отрасли или кластеров;

21) разрабатывает меры по вовлечению социально уязвимых слоев населения в частное предпринимательство;

22) исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
23) исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

В области государственной поддержки инновационной деятельности и государственного стимулирования промышленности:

1) разрабатывает основные направления государственной политики в сфере государственной поддержки инновационной деятельности;

2) разрабатывает основные направления государственной технологической политики и организует их осуществление;

3) определяет национальный институт развития в области инновационного развития и перечень иных юридических лиц, пятьдесят и более процентов голосующих акций (долей участия в уставном капитале) которых прямо либо косвенно принадлежат государству, уполномоченных на реализацию мер государственной поддержки инновационной деятельности, в соответствии с законодательством Республики Казахстан;

4) образует Совет по технологической политике при Правительстве Республики Казахстан и утверждает положение о нем и его состав;

5) принимает нормативные правовые акты, предусматривающие введение мер государственной поддержки инновационной деятельности, их отмену, а также порядок их применения, в целях обеспечения стабильности и устойчивости развития национальной экономики, в том числе ее промышленно-инновационной составляющей;

6) осуществляет меры государственного стимулирования промышленности в соответствии с Законом Республики Казахстан "О промышленной политике".

2. Исключен Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Сноска. Статья 98 с изменениями, внесенными законами РК от 03.07.2017 № 86-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 26.12.2018 № 202-VI (вводится в действие с 01.01.2019); от 25.06.2020 № 347-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 99. Компетенция уполномоченного органа по предпринимательству в области государственной поддержки и развития частного предпринимательства

Уполномоченный орган по предпринимательству:

1) формирует и реализует государственную политику по развитию и государственной поддержке частного предпринимательства;

2) организует и координирует выполнение государственных мер поддержки и развития малого и среднего предпринимательства;

2-1) утверждает правила предоставления субъектам малого и среднего предпринимательства в имущественный наем (аренду) или доверительное управление неиспользуемых объектов государственной собственности и занимаемых ими земельных участков для организации производственной деятельности и развития сферы услуг населению с последующей безвозмездной передачей в собственность;

Примечание ИЗПИ!
В пункт 2-2 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2-2) организует рассмотрение экспертными советами разрабатываемых центральными государственными, местными представительными и исполнительными органами проектов нормативных правовых актов, проектов международных договоров Республики Казахстан, а также международных договоров, участницей которых намеревается стать Республика Казахстан, затрагивающих интересы субъектов частного предпринимательства;

2-3) проводит анализ функционирования отраслей экономики в целях устранения препятствий для развития субъектов частного предпринимательства;

2-4) организует предоставление субъектам частного предпринимательства экономической информации о состоянии внутренних и внешних рынков;

2-5) утверждает правила проведения аккредитации объединений субъектов частного предпринимательства;

3) разрабатывает предложения о совершенствовании мер по финансированию и кредитованию субъектов частного предпринимательства;

4) проводит анализ предпринимательской среды, инвестиционного климата и инфраструктуры развития частного предпринимательства;

5) разрабатывает нормативные правовые акты, обеспечивающие поддержку и развитие частного предпринимательства;

6) способствует формированию и развитию инфраструктуры малого и среднего предпринимательства в регионах республики;

7) создает условия для участия малого и среднего предпринимательства в реализации документов Системы государственного планирования Республики Казахстан в сфере инновационного, инвестиционного и индустриального развития;

8) создает условия для инвесторов, международных организаций-грантодателей в вопросах поддержки и развития частного предпринимательства;

9) организует методологическую помощь субъектам частного предпринимательства;

10) создает условия для выхода субъектов частного предпринимательства на международные рынки товаров, работ, услуг;

11) осуществляет международное сотрудничество в области развития частного предпринимательства;

12) пропагандирует государственную политику по развитию и поддержке частного предпринимательства;

13) осуществляет иные полномочия, предусмотренные настоящим Кодексом, законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Статья 99 с изменениями, внесенными Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 100. Уполномоченный орган в области государственного стимулирования промышленности и его компетенция в области государственной поддержки частного предпринимательства

Уполномоченный орган в области государственного стимулирования промышленности осуществляет государственное стимулирование промышленности в соответствии с Законом Республики Казахстан "О промышленной политике".

Сноска. Статья 100 – в редакции Закона РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 100-1. Уполномоченный орган в области государственной поддержки инновационной деятельности и его компетенция в области государственной поддержки частного предпринимательства

1. Уполномоченным органом в области государственной поддержки инновационной деятельности является центральный исполнительный орган, осуществляющий руководство в сфере инновационного и технологического развития, а также в пределах, предусмотренных законодательством Республики Казахстан, межотраслевую координацию и участие в реализации государственной поддержки инновационной деятельности.

2. Уполномоченный орган в области государственной поддержки инновационной деятельности:

1) формирует и реализует государственную политику в области государственной поддержки инновационной деятельности;

1-1) формирует и реализует государственную технологическую политику;

2) определяет приоритетные направления предоставления инновационных грантов;

3) согласовывает планы развития национальных управляющих холдингов, национальных холдингов и национальных компаний, планы развития и планы мероприятий юридических лиц, пятьдесят и более процентов голосующих акций (долей участия в уставном капитале) которых принадлежат государству, аффилированных с ними юридических лиц, национальных управляющих холдингов (за исключением Фонда национального благосостояния), национальных холдингов, национальных компаний (за исключением национальных компаний, входящих в группу Фонда национального благосостояния) и аффилированных с ними юридических лиц в части развития технологий и инноваций;

3-1) согласовывает документы Системы государственного планирования в Республике Казахстан в части инновационного и технологического развития;

4) разрабатывает положение о Совете по технологической политике при Правительстве Республики Казахстан и вносит в Правительство Республики Казахстан предложения по формированию его состава;

4-1) разрабатывает и утверждает методику и критерии осуществления технологического прогнозирования, функционирования отраслевых центров технологических компетенций, организации технологических платформ и разработки целевых технологических программ;

5) разрабатывает и утверждает правила предоставления инновационных грантов на коммерциализацию технологий;

6) разрабатывает и утверждает правила предоставления инновационных грантов на технологическое развитие отраслей;

7) разрабатывает и утверждает правила предоставления инновационных грантов на технологическое развитие действующих предприятий;

8) Исключен Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

9) разрабатывает и утверждает правила оплаты услуг национального института развития в области инновационного развития при предоставлении инновационных грантов;

9-1) разрабатывает и утверждает правила оказания услуг по содействию в развитии бизнес-инкубирования;

9-2) разрабатывает и утверждает методику по определению критериев инновационности проектов;

9-3) участвует в формировании государственной политики по цифровой трансформации и внедрению Индустрии 4.0;

10) обеспечивает и несет ответственность за реализацию и исполнение государственных программ в рамках компетенции;

11) осуществляет иные полномочия, предусмотренные настоящим Кодексом, законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Глава 8 дополнена статьей 100-1 в соответствии с Законом РК от 25.06.2020 № 347-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); с изменениями, внесенными законами РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 101. Центральный уполномоченный орган по государственному планированию и его компетенция в области государственной поддержки частного предпринимательства

1. Центральным уполномоченным органом по государственному планированию является центральный исполнительный орган, осуществляющий руководство и межотраслевую координацию в области стратегического и экономического планирования, выработки и формирования бюджетной политики, а также по формированию и реализации государственной политики в сфере регионального развития.

2. Центральный уполномоченный орган по государственному планированию:

1) участвует в формировании и реализации государственной политики в области государственной поддержки инновационной деятельности и государственного стимулирования промышленности;

2) вносит в Правительство Республики Казахстан предложения по определению приоритетных секторов экономики;

3) осуществляет координацию обеспечения квалифицированными кадровыми ресурсами и регулирования занятости в области промышленно-инновационной деятельности;

4) осуществляет оценку эффективности индустриально-инновационной системы;

5) согласовывает планы развития национальных управляющих холдингов, национальных холдингов и национальных компаний, планы развития и планы мероприятий юридических лиц, пятьдесят и более процентов голосующих акций (долей участия в уставном капитале) которых принадлежат государству, аффилированных с ними юридических лиц, национальных управляющих холдингов (за исключением Фонда национального благосостояния), национальных холдингов, национальных компаний (за исключением национальных компаний, входящих в группу Фонда национального благосостояния) и аффилированных с ними юридических лиц;

6) осуществляет иные полномочия, предусмотренные настоящим Кодексом, законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Статья 101 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 102. Уполномоченный орган в области регулирования внешнеторговой деятельности и его компетенция в области государственной поддержки частного предпринимательства

1. Уполномоченным органом в области регулирования внешнеторговой деятельности является центральный исполнительный орган, осуществляющий руководство в сфере развития и продвижения экспорта несырьевых товаров и услуг, а также в пределах предусмотренных законодательством Республики Казахстан, межотраслевую координацию в области регулирования внешнеторговой деятельности.

2. Уполномоченный орган в области регулирования внешнеторговой деятельности:

1) взаимодействует с органом, проводящим расследования, по вопросам специальных защитных, антидемпинговых и компенсационных мер;

2) вносит в орган, проводящий расследования, предложения по инициированию расследований, предшествующих применению специальных защитных, антидемпинговых и компенсационных мер;

3) координирует работу государственных органов Республики Казахстан по вопросам специальных защитных, антидемпинговых и компенсационных мер;

4) формирует и согласовывает с заинтересованными государственными органами Республики Казахстан предложения по вопросам специальных защитных, антидемпинговых и компенсационных мер;

5) разрабатывает нормативные правовые акты по вопросам специальных защитных, антидемпинговых и компенсационных мер;

6) взаимодействует с официальными органами других стран и международными организациями;

7) исключен Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
8) исключен Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
9) исключен Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
10) исключен Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
11) исключен Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

12) разрабатывает и утверждает в пределах своей компетенции меры по продвижению экспорта с учетом международных обязательств Республики Казахстан;

13) осуществляет иные полномочия, предусмотренные законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Статья 102 с изменениями, внесенными законами РК от 02.04.2019 № 241-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 25.06.2020 № 347-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 103. Компетенция государственных органов и местных исполнительных органов в области государственной поддержки инновационной деятельности

Государственные органы и местные исполнительные органы в пределах своей компетенции в области государственной поддержки инновационной деятельности:

1) участвуют в формировании и реализации государственной политики в области государственной поддержки инновационной деятельности;

2) участвуют в формировании и реализации государственной технологической политики;

3) вносят предложения по определению в курируемых направлениях отраслевых центров технологических компетенций, целевых технологических программ и организации технологических платформ для рассмотрения на Совете по технологической политике;

4) предоставляют в уполномоченный орган в области государственной поддержки инновационной деятельности информацию о реализации мер государственной поддержки инновационной деятельности, а также достижении индикаторов по развитию инноваций;

5) вносят в уполномоченный орган в области государственной поддержки инновационной деятельности предложения по определению приоритетных направлений предоставления инновационных грантов;

6) обеспечивают исполнение документов Системы государственного планирования в Республике Казахстан;

7) осуществляют иные полномочия, предусмотренные настоящим Кодексом, законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Статья 103 – в редакции Закона РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 104. Компетенция иных государственных органов в области государственной поддержки частного предпринимательства

Государственные органы в пределах своей компетенции в области государственной поддержки частного предпринимательства:

1) участвуют в формировании и реализации государственной политики в области государственной поддержки частного предпринимательства;

2) осуществляют иные полномочия, предусмотренные настоящим Кодексом, иными законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Статья 105. Компетенция местных исполнительных органов в области государственной поддержки и развития частного предпринимательства

1. Местные исполнительные органы Республики Казахстан:

1) осуществляют реализацию государственной политики поддержки и развития частного предпринимательства;

2) создают условия для развития частного предпринимательства;

2-1) проводят анализ предпринимательской среды, инвестиционного климата и инфраструктуры развития частного предпринимательства;

3) обеспечивают и несут ответственность за реализацию и исполнение государственных программ в регионах;

4) обеспечивают создание и развитие в регионе объектов инфраструктуры поддержки малого и среднего предпринимательства и инновационной деятельности;

5) определяют стратегию развития взаимоотношений местных исполнительных органов с объединениями субъектов частного предпринимательства, Национальной палатой и объектами рыночной инфраструктуры;

6) организуют деятельность экспертных советов;

7) обеспечивают государственную поддержку частного предпринимательства на местном уровне;

8) организуют обучение, подготовку, переподготовку и повышение квалификации специалистов и персонала для субъектов малого и среднего предпринимательства;

8-1) осуществляют в пределах компетенции продвижение несырьевого экспорта;

8-2) создают условия в пределах компетенции для развития несырьевого экспорта;

8-3) осуществляют развитие национальных и территориальных кластеров;

9) осуществляют в интересах местного государственного управления иные полномочия, возлагаемые на местные исполнительные органы законодательством Республики Казахстан.

2. Исключен Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Сноска. Статья 105 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 25.06.2020 № 347-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

РАЗДЕЛ 3. ФОРМЫ И СРЕДСТВА ГОСУДАРСТВЕННОГО РЕГУЛИРОВАНИЯ ПРЕДПРИНИМАТЕЛЬСТВА
Глава 9. РАЗРЕШЕНИЯ И УВЕДОМЛЕНИЯ

Статья 106. Государственное регулирование в сфере разрешений и уведомлений

Государственное регулирование в сфере разрешений и уведомлений заключается во введении разрешительного или уведомительного порядка осуществления субъектами предпринимательства отдельных видов деятельности или действий в соответствии с настоящим Кодексом и Законом Республики Казахстан "О разрешениях и уведомлениях".

Статья 107. Уровни опасности регулируемой деятельности или действий (операций)

1. Разрешительный или уведомительный порядок вводится в зависимости от уровня опасности предстоящих к осуществлению деятельности или действий (операций) и делится на следующие уровни:

1) разрешения первой категории – лицензии, которые вводятся в отношении видов (подвидов) деятельности или действий (операций), связанных с высоким уровнем опасности;

2) разрешения второй категории – все разрешения, не являющиеся лицензиями, которые вводятся в отношении видов (подвидов) деятельности или действий (операций), связанных со средним уровнем опасности;

3) уведомления вводятся в отношении видов деятельности или действий, связанных с низким уровнем опасности, но требующих получения государственными органами информации о начале или прекращении такой деятельности или таких действий.

2. Уровни опасности деятельности или действий (операций) устанавливаются на основании анализа регуляторного воздействия, проводимого в соответствии со статьей 83 настоящего Кодекса.

Сноска. Статья 107 с изменением, внесенным Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 108. Разрешительный и уведомительный порядок

1. Для начала и последующего осуществления отдельных видов деятельности или действий (операций) субъекты предпринимательства обязаны иметь в наличии действительное разрешение или направить уведомление в государственные органы, осуществляющие прием уведомлений в порядке, установленном Законом Республики Казахстан "О разрешениях и уведомлениях".

Субъект предпринимательства, имеющий лицензию, признается лицензиатом.

Субъект предпринимательства, имеющий действительное разрешение второй категории, является владельцем разрешения второй категории.

2. Осуществление субъектами предпринимательства деятельности или действий (операций), для которых Законом Республики Казахстан "О разрешениях и уведомлениях" установлен разрешительный или уведомительный порядок, без получения соответствующего разрешения или без направления соответствующего уведомления не допускается.

Разрешение должно быть получено субъектами предпринимательства и быть действительным, а уведомление должно быть направлено субъектом предпринимательства до начала осуществления деятельности или действия (операции), в отношение которых Законом Республики Казахстан "О разрешениях и уведомлениях" установлен разрешительный или уведомительный порядок.

3. Установление Законом Республики Казахстан "О разрешениях и уведомлениях" разрешительного или уведомительного порядка производится в зависимости от уровня опасности деятельности или действия (операции) в целях защиты жизни и здоровья людей, окружающей среды, собственности, обеспечения национальной безопасности и правопорядка.

4. Исчерпывающие перечни разрешений и уведомлений предусматриваются Законом Республики Казахстан "О разрешениях и уведомлениях".

5. Выдача, продление, переоформление, возобновление и осуществление других предусмотренных законодательством Республики Казахстан действий в отношении разрешений, а также приложений к ним являются государственными услугами и в части, не противоречащей Закону Республики Казахстан "О разрешениях и уведомлениях", регулируются Законом Республики Казахстан "О государственных услугах".

Статья 109. Порядок введения и отмены разрешительного или уведомительного порядка

1. Разрешительный или уведомительный порядок вводится только посредством включения соответствующего разрешения или уведомления в перечни разрешений или уведомлений, предусмотренные в приложениях 1, 2 и 3 к Закону Республики Казахстан "О разрешениях и уведомлениях".

2. Для введения разрешительного или уведомительного порядка регулирующие государственные органы должны предварительно провести процедуру анализа регуляторного воздействия в соответствии со статьей 83 настоящего Кодекса.

3. При введении разрешительного порядка в отношении деятельности или действия (операции), ранее не подлежавшего разрешительному порядку, обязанность получения разрешения возникает у субъекта предпринимательства, осуществляющего деятельность или действие (операцию), с даты введения в действие нормативного правового акта, регламентирующего порядок получения разрешения и (или) устанавливающего требования, обязательные для получения разрешения.

4. Нормативные правовые акты, регламентирующие порядок получения разрешения, утверждающие разрешительные или квалификационные требования и (или) перечень документов, подтверждающих соответствие заявителей таким требованиям, не могут быть введены в действие до истечения шестидесяти календарных дней после дня их первого официального опубликования.

В случае введения разрешительного порядка в отношении деятельности или действий (операций), ранее не подлежавших разрешительному порядку, заявители вправе подать заявление на получение разрешения до введения в действие нормативных правовых актов, регламентирующих порядок получения разрешения, утверждающих разрешительные или квалификационные требования, и (или) перечень документов, подтверждающих соответствие заявителей таким требованиям, но не позднее чем за пять рабочих дней до введения в действие указанных актов.

При этом выдача разрешений или мотивированных отказов в их выдаче по заявлениям, поданным в соответствии с частью второй настоящего пункта, должна быть осуществлена разрешительными органами после вступления в силу нормативных правовых актов, указанных в части первой настоящего пункта, в сроки и порядке, установленные для их выдачи.

5. Заявители, подавшие заявление на получение разрешения в соответствии с пунктом 4 настоящей статьи, вправе до выдачи разрешения или мотивированного отказа в его выдаче осуществлять деятельность или действие (операцию), в отношении которых введен разрешительный порядок, без наличия разрешения, за исключением случаев, установленных Законом Республики Казахстан "О разрешениях и уведомлениях".

6. Отмена разрешительного или уведомительного порядка осуществляется посредством исключения разрешения или уведомления из перечней разрешений и уведомлений, предусмотренных в приложениях 1, 2 и 3 к Закону Республики Казахстан "О разрешениях и уведомлениях", и влечет право субъекта предпринимательства на осуществление деятельности или действия (операции) без наличия разрешения или направления уведомления.

Сноска. Статья 109 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 12.03.2021 № 15-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 110. Заявители. Права заявителей

1. Заявителями могут быть следующие субъекты предпринимательства, обратившиеся в соответствующий разрешительный орган для прохождения лицензирования или разрешительной процедуры или направившие уведомление:

1) индивидуальный предприниматель;

2) юридическое лицо;

3) филиал или представительство юридического лица;

4) лицензиат;

5) владелец разрешения второй категории.

2. Заявители имеют право:

1) получать полную и достоверную информацию о разрешениях и уведомлениях;

Примечание РЦПИ!
Порядок введения в действие подпункта 2) см. пункт 6 статьи 324 Кодекса РК от 29.10.2015 № 375-V.

2) обжаловать решения, действия (бездействие) разрешительных органов и государственных органов, осуществляющих прием уведомлений, и (или) их должностных лиц, Государственной корпорации "Правительство для граждан" и (или) ее работников по вопросам осуществления лицензирования и разрешительных процедур или приема уведомлений в порядке, установленном законодательством Республики Казахстан;

3) выбирать электронную или бумажную форму заявления для получения разрешения и (или) приложения к нему или направления уведомления, а также выбирать электронную или бумажную форму выдаваемого разрешения и (или) приложения к нему с учетом положений статьи 48 Закона Республики Казахстан "О разрешениях и уведомлениях".

3. Кандасы и иностранные юридические лица получают разрешения и направляют уведомления наравне с гражданами и юридическими лицами Республики Казахстан, если иное не предусмотрено законами Республики Казахстан и международными договорами Республики Казахстан.

Статья 111. Права и обязанности разрешительных органов

1. Разрешительными органами являются лицензиары и органы, уполномоченные на выдачу разрешений второй категории.

2. Разрешительные органы в пределах своей компетенции имеют право обращаться с запросом в государственные органы за информацией, необходимой для осуществления лицензирования или разрешительной процедуры, в том числе посредством информационных систем.

3. Разрешительные органы обязаны:

1) осуществлять лицензирование и разрешительные процедуры в соответствии с настоящим Кодексом и Законом Республики Казахстан "О разрешениях и уведомлениях";

2) создавать необходимые условия для лиц с ограниченными возможностями при получении ими разрешений;

3) предоставлять в доступной форме полную и достоверную информацию о лицензировании, разрешительных процедурах, перечне требуемых для этого документов и порядке получения и оформления таких документов;

Примечание РЦПИ!

Порядок введения в действие подпункта 4) см. пункт 7 статьи 324 Кодекса РК от 29.10.2015 № 375-V.

4) предоставлять государственным органам и Государственной корпорации "Правительство для граждан" документы и (или) информацию, необходимые для осуществления лицензирования и разрешительных процедур, в том числе посредством информационных систем;

5) принимать меры, направленные на восстановление нарушенных прав, свобод и законных интересов заявителей, лицензиатов и владельцев разрешений второй категории;

6) в пределах своей компетенции обеспечивать бесперебойное функционирование и наполнение информационных систем, содержащих необходимые сведения для выдачи разрешений;

7) получать письменное согласие заявителей, лицензиатов и владельцев разрешений второй категории, в том числе в форме электронного документа, на использование персональных данных ограниченного доступа, составляющих охраняемую законом тайну, содержащихся в информационных системах, при выдаче разрешений, если иное не предусмотрено законами Республики Казахстан.

Статья 112. Осуществление лицензирования, разрешительных процедур и уведомлений в электронной форме

1. Лицензирование и направление уведомлений осуществляются в электронной форме с использованием государственной информационной системы разрешений и уведомлений и государственного электронного реестра разрешений и уведомлений.

Разрешительные процедуры осуществляются в электронной форме с использованием государственной информационной системы разрешений и уведомлений и государственного электронного реестра разрешений и уведомлений с учетом положений пункта 3 статьи 52 Закона Республики Казахстан "О разрешениях и уведомлениях".

2. Порядок подачи заявления, выдачи разрешений и (или) приложений к разрешению регулируется Законом Республики Казахстан "О разрешениях и уведомлениях".

3. Разрешительными органами на постоянной основе ведется государственный электронный реестр разрешений и уведомлений.

Государственный электронный реестр разрешений и уведомлений по уведомлениям ведется государственными органами, осуществляющими прием уведомлений, в случаях, предусмотренных законодательством Республики Казахстан.

Глава 9-1. ИНФОРМАЦИОННЫЕ ИНСТРУМЕНТЫ

Сноска. Раздел 3 дополнен главой 9-1 в соответствии с Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования).

Статья 112-1. Информационные инструменты

1. Под информационными инструментами понимаются требования предоставления информации государственным органам или иным лицам, установленные в законах Республики Казахстан, соответствующие одновременно всем нижеследующим критериям:

1) предоставление информации является обязательным;

2) непредоставление информации влечет ответственность в соответствии с законами Республики Казахстан;

3) информация предоставляется субъектами частного предпринимательства.

2. После введения в действие законов Республики Казахстан, предусматривающих введение информационных инструментов, регулирующий государственный орган должен инициировать внесение дополнений в перечень информационных инструментов, а также в реестр требований.

3. Предоставление информационных инструментов производится в электронной форме с использованием информационных систем или на бумажном носителе. Способ предоставления информационного инструмента определяется субъектом частного предпринимательства.

При этом запрещается требовать предоставления информационных инструментов, по которым не будет внедрена и обеспечена автоматизация их предоставления.

4. Положения настоящей главы не распространяются на информационные инструменты, имеющиеся в области налоговой, таможенной, финансовой политики, статистической деятельности, а также распространяющиеся на одного субъекта регулирования.

Для целей настоящей главы под финансовой политикой понимается совокупность отношений, связанных с деятельностью финансовых организаций, филиалов банков – нерезидентов Республики Казахстан, филиалов страховых (перестраховочных) организаций – нерезидентов Республики Казахстан, филиалов страховых брокеров – нерезидентов Республики Казахстан, участников страхового рынка, не являющихся финансовыми организациями, коллекторских агентств, крупных участников финансовых организаций, эмитентов эмиссионных ценных бумаг, кредитных бюро, лиц, входящих в состав страховых групп и банковских конгломератов, субъектов рынка платежных услуг, с регулированием валютных правоотношений, оказанием финансовых услуг, а также выпуском, обращением, погашением и аннулированием финансовых инструментов.

Сноска. Статья 112-1 - в редакции Закона РК от 30.12.2021 № 95-VII (порядок введения в действие см ст.2).

Статья 112-2. Виды информационных инструментов

Сноска. Статья 112-2 исключена Законом РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 112-3. Особенности введения информационных инструментов

Сноска. Статья 112-3 исключена Законом РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 10. ТЕХНИЧЕСКОЕ РЕГУЛИРОВАНИЕ

Статья 113. Государственное регулирование в области технического регулирования

Государственное регулирование в области технического регулирования заключается в установлении и исполнении обязательных требований к продукции, в том числе зданиям и сооружениям, процессам проектирования (включая изыскания), производства, строительства, монтажа, наладки, эксплуатации, хранения, перевозки, реализации и утилизации, связанным с требованиями к продукции, применении на добровольной основе требований к продукции, процессам и оказанию услуг, оценке соответствия и государственному контролю и надзору в соответствии с настоящим Кодексом и законодательством Республики Казахстан в области технического регулирования.

Сноска. Статья 113 - в редакции Закона РК от 30.12.2020 № 397-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования).

Статья 114. Объекты технического регулирования

Объектами технического регулирования являются:

продукция, за исключением продукции гражданской авиации, продукции, используемой в целях защиты сведений, составляющих государственную тайну (государственные секреты) или относящихся к охраняемой в соответствии с законом иной информации ограниченного доступа, продукции, сведения о которой составляют государственную тайну (государственные секреты), продукции, для которой устанавливаются требования, связанные с обеспечением безопасности в области использования атомной энергии, продукции, бывшей в употреблении, ветеринарных препаратов, лекарственных средств, медицинских изделий (изделий медицинского назначения и медицинской техники);

связанные с требованиями к продукции процессы проектирования (включая изыскания), производства, строительства, монтажа, наладки, эксплуатации, хранения, перевозки, реализации и утилизации;

услуги в части добровольной сертификации, за исключением услуг в области ветеринарии, защиты и карантина растений, государственных, медицинских, образовательных, финансовых, банковских и других услуг, регулирование которых установлено иными законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Статья 114 - в редакции Закона РК от 30.12.2020 № 397-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования).

Статья 115. Субъекты технического регулирования

Субъектами технического регулирования являются государственные органы, а также физические и юридические лица, входящие в структуру государственной системы технического регулирования, и физические и юридические лица, обладающие в отношении объектов технического регулирования правом пользования в соответствии с гражданским законодательством Республики Казахстан.

Сноска. Статья 115 с изменением, внесенным Законом РК от 30.12.2020 № 397-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования).

Глава 11. ГОСУДАРСТВЕННОЕ РЕГУЛИРОВАНИЕ ЦЕН И ТАРИФОВ

Статья 116. Государственное регулирование цен и тарифов субъектов предпринимательства

1. Цены и тарифы на товары, работы, услуги определяются субъектами предпринимательства самостоятельно, за исключением случаев, предусмотренных настоящим Кодексом.

2. Государство устанавливает регулирование цен и тарифов в целях обеспечения национальной безопасности, охраны общественного порядка, прав и свобод человека, здоровья населения в Республике Казахстан.

3. Государство регулирует цены и тарифы на следующие товары, работы, услуги субъектов предпринимательства:

1) на социально значимые продовольственные товары;

2) на товары, работы, услуги в сфере естественной монополии;

3) на товары, работы, услуги, производимые и реализуемые субъектами государственной монополии, специального права;

4) на товары (работы, услуги), в отношении которых введено государственное ценовое регулирование;

Примечание ИЗПИ!
Подпункт 5) предусмотрено исключить Законом РК от 25.03.2024 № 68-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5) на товары, работы, услуги в международных деловых операциях и сделках, связанных с международными деловыми операциями, возникающих при трансфертном ценообразовании;

6) на розничную реализацию нефтепродуктов через стационарные автозаправочные станции, на которые установлено государственное регулирование цен, и оптовую реализацию для стационарных автозаправочных станций нефтепродуктов, на которые установлено государственное регулирование цен;

6-1) утверждение предельных цен на лекарственные средства;

7) установление минимальных цен на водки и водки особые, водки с защищенным наименованием места происхождения товара, крепкие ликероводочные изделия, коньяк и бренди;

8) установление минимальных розничных цен на сигареты с фильтром, без фильтра, папиросы, сигариллы и изделия с нагреваемым табаком;

9) на товарных рынках, не находящихся в состоянии естественной монополии, в определенных случаях, в том числе чрезвычайные ситуации, стихийные бедствия, обеспечение национальной безопасности, при условии, что возникшие проблемы невозможно решить способом, имеющим меньшие негативные последствия для состояния конкуренции;

10) на товарный и сжиженный нефтяной газ;

11) утверждение цен сырого и товарного газа, приобретаемого национальным оператором в рамках преимущественного права государства;

12) утверждение тарифов энергопроизводящих организаций;

13) на субсидируемые услуги;

14) на общественно значимых рынках.

Примечание ИЗПИ!
Статью 116 предусмотрено дополнить пунктом 3-1 в соответствии с Законом РК от 25.03.2024 № 68-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).
Сноска. Статья 116 с изменениями, внесенными законами РК от 29.03.2016 № 479-V (вводится в действие по истечении двадцати одного календарного дня после дня его первого официального опубликования); от 09.04.2016 № 499-V (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018); от 04.07.2018 № 173-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 28.12.2018 № 211-VI (вводится в действие по истечении трех месяцев после дня его первого официального опубликования); от 30.12.2019 № 297-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2021 № 95-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования); от 30.12.2021 № 96-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования); от 31.12.2021 № 100 (вводится в действие с 01.03.2022); от 03.01.2022 № 101-VII (вводится в действие с 01.07.2022); от 30.12.2022 № 177-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования); от 29.06.2023 № 13-VIII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 117. Ценообразование на социально значимые продовольственные товары

1. Уполномоченный орган в области регулирования торговой деятельности утверждает перечень социально значимых продовольственных товаров по согласованию с уполномоченным органом в сфере социальной защиты населения.

Примечание ИЗПИ!
Часть вторую пункта 1 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие с 31.12.2025).

Пороговые значения розничных цен на социально значимые продовольственные товары, размер предельно допустимых розничных цен на социально значимые продовольственные товары утверждаются местными исполнительными органами.

Примечание ИЗПИ!
Часть третью пункта 1 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие с 31.12.2025).

Пороговым значением розничных цен на социально значимые продовольственные товары является допустимый уровень розничных цен, устанавливаемый в целях недопущения необоснованного роста цен, удержания инфляции в допустимых пределах и обеспечения макроэкономической стабильности в стране, до которого субъект торговой деятельности вправе определить розничные цены на социально значимые продовольственные товары.

Примечание ИЗПИ!
Часть четвертую пункта 1 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие с 31.12.2025).

Предельно допустимыми розничными ценами на социально значимые продовольственные товары признается уровень розничных цен, устанавливаемый местными исполнительными органами в случае превышения пороговых значений розничных цен на социально значимые продовольственные товары.

Примечание ИЗПИ!
В пункт 2 предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие с 31.12.2025).

2. При заключении договоров поставки социально значимых продовольственных товаров размер предельной торговой надбавки должен быть установлен в обязательном порядке. Сделка, совершенная с нарушением данного требования, недействительна.

Примечание ИЗПИ!
Пункт 3 предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие с 31.12.2025).

3. В случае превышения пороговых значений розничных цен на социально значимые продовольственные товары на территории области, города республиканского значения, столицы местный исполнительный орган после проведения консультаций с субъектами торговой деятельности вправе устанавливать размер предельно допустимых розничных цен на них на территории области, города республиканского значения, столицы на срок не более чем девяносто календарных дней.

Сноска. Статья 117 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 118. Формирование тарифов на регулируемые услуги субъектов естественной монополии

1. Формирование тарифов на регулируемые услуги субъектов естественной монополии осуществляется в соответствии с законодательством Республики Казахстан о естественных монополиях.

2. Естественной монополией является состояние рынка товаров, работ и услуг, при котором создание конкурентных условий для удовлетворения спроса на определенный вид товаров, работ и услуг невозможно или экономически нецелесообразно в силу технологических особенностей производства и предоставления данного вида товаров, работ и услуг.

Сноска. Статья 118 в редакции Закона РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Примечание РЦПИ!
Порядок введения в действие статьи 119 см. пункт 9 статьи 324 Кодекса РК от 29.10.2015 № 375-V.

Статья 119. Государственное ценовое регулирование

В качестве временной меры на определенный срок на территории Республики Казахстан в порядке, определяемом антимонопольным органом, может быть введено государственное ценовое регулирование на отдельных товарных рынках и (или) на товары (работы, услуги) отдельных субъектов рынка.

Сноска. Статья 119 с изменением, внесенным Законом РК от 01.07.2022 № 131-VII (вводится в действие с 01.07.2022).

Статья 120. Ценообразование на товары, производимые и реализуемые субъектами государственной монополии, специального права

1. Правила ценообразования на товары, производимые и реализуемые субъектом государственной монополии, специального права, утверждаются антимонопольным органом.

Уполномоченные государственные органы проводят публичные слушания при рассмотрении заявок субъектов государственной монополии, специального права в соответствии с правилами, указанными в части первой настоящего пункта.

2. Антимонопольный орган проводит экспертизу цен на товары, производимые и реализуемые субъектом государственной монополии, специального права в соответствии с правилами, указанными в части первой пункта 1 настоящей статьи.

3. Для проведения экспертизы цен на товары субъекты государственной монополии, специального права обязаны предоставить в письменном виде:

1) информацию об отпускных ценах с приложением обосновывающих материалов, подтверждающих уровень цены, не позднее тридцати календарных дней со дня введения государственной монополии, специального права на товары;

2) уведомление не менее чем за тридцать календарных дней о предстоящем изменении (повышении и (или) снижении) цен на товары и причинах их изменения (повышения и (или) снижения) с предоставлением обосновывающих материалов, подтверждающих причины изменения (повышения и (или) снижения).

4. Срок проведения экспертизы цен на товары составляет не более девяноста календарных дней со дня поступления к рассмотрению уведомления или информации. Общий срок проведения экспертизы не должен превышать сто двадцать календарных дней.

5. В ходе рассмотрения уведомления или информации антимонопольный орган вправе запросить в сроки, установленные настоящим Кодексом, от субъекта государственной монополии, специального права дополнительные сведения и (или) документы, необходимые для принятия решения.

6. На период представления дополнительных сведений и (или) документов срок рассмотрения уведомления или информации приостанавливается до представления субъектом государственной монополии, специального права соответствующих дополнительных сведений и (или) документов.

7. Антимонопольный орган возобновляет рассмотрение уведомления или информации после представления дополнительных сведений и (или) документов субъектом государственной монополии, специального права.

8. Исчисление срока проведения экспертизы цен на товары продолжается со дня ее возобновления.

Сноска. Статья 120 - в редакции Закона РК от 03.01.2022 № 101-VII (вводится в действие с 01.07.2022).

Статья 120-1. Ценообразование на общественно значимых рынках

Ценообразование на общественно значимых рынках осуществляется в соответствии с правилами ценообразования на общественно значимых рынках, утверждаемыми уполномоченным органом, осуществляющим руководство в сферах естественных монополий.

Сноска. Кодекс дополнен статьей 120-1 в соответствии с Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).
Примечание ИЗПИ!
Статья 121 предусмотрена в редакции Закона РК от 25.03.2024 № 68-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 121. Регулирование цен на товары, работы, услуги в международных деловых операциях и сделках, связанных с международными деловыми операциями

1. В Республике Казахстан регулирование цен на товары, работы, услуги в международных деловых операциях и сделках, связанных с международными деловыми операциями, возникающих при трансфертном ценообразовании, осуществляется в соответствии с Законом Республики Казахстан "О трансфертном ценообразовании".

2. Трансфертной ценой (трансфертным ценообразованием) является цена, которая формируется между взаимосвязанными сторонами и (или) отличается от объективно формирующейся рыночной цены с учетом диапазона цен при совершении сделок между независимыми сторонами и подлежит контролю в соответствии с Законом Республики Казахстан "О трансфертном ценообразовании".

3. Международными деловыми операциями являются экспортные и (или) импортные сделки по купле-продаже товаров; сделки по выполнению работ, оказанию услуг, одной из сторон которых является нерезидент, осуществляющий деятельность в Республике Казахстан без образования постоянного учреждения; сделки резидентов Республики Казахстан, совершенные за пределами территории Республики Казахстан, по купле-продаже товаров, выполнению работ, оказанию услуг.

Статья 122. Ценообразование на розничную реализацию нефтепродуктов через стационарные автозаправочные станции, на которые установлено государственное регулирование цен, и на оптовую реализацию для стационарных автозаправочных станций нефтепродуктов, на которые установлено государственное регулирование цен

1. Государство регулирует цены на розничную реализацию нефтепродуктов через стационарные автозаправочные станции и на оптовую реализацию нефтепродуктов, предназначенных для реализации на стационарных автозаправочных станциях, в соответствии с законодательством Республики Казахстан о государственном регулировании производства и оборота отдельных видов нефтепродуктов.

2. Уполномоченный орган в области производства нефтепродуктов по согласованию с уполномоченным органом, осуществляющим руководство в сфере естественных монополий, в порядке, утвержденном уполномоченным органом в области производства нефтепродуктов, устанавливает предельные цены на розничную реализацию нефтепродуктов через стационарные автозаправочные станции, на которые установлено государственное регулирование цен, и на оптовую реализацию нефтепродуктов, предназначенных для реализации на стационарных автозаправочных станциях, на которые установлено государственное регулирование цен.

3. Розничные реализаторы нефтепродуктов при реализации нефтепродуктов через стационарные автозаправочные станции обязаны не превышать установленные предельные цены на розничную реализацию нефтепродуктов через стационарные автозаправочные станции, на которые установлено государственное регулирование цен.

Оптовые реализаторы нефтепродуктов для стационарных автозаправочных станций обязаны не превышать установленные предельные цены на оптовую реализацию нефтепродуктов, на которые установлено государственное регулирование цен.

4. В случае государственного регулирования цен на розничную реализацию нефтепродуктов через стационарные автозаправочные станции и на оптовую реализацию нефтепродуктов, предназначенных для реализации на стационарных автозаправочных станциях, предельные цены устанавливаются не более одного раза в месяц.

Сноска. Статья 122 - в редакции Закон РК от 30.12.2022 № 177-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 122-1. Утверждение предельных цен на лекарственные средства

1. Государством утверждаются предельные цены на лекарственные средства в соответствии с законодательством Республики Казахстан в области здравоохранения.

2. Государственный контроль за соблюдением порядка ценообразования лекарственных средств осуществляется уполномоченным органом в области здравоохранения в порядке, установленном законодательством Республики Казахстан в области здравоохранения.

Сноска. Глава 11 дополнена статьей 122-1 в соответствии с Законом РК от 28.12.2018 № 211-VI (вводится в действие по истечении трех месяцев после дня его первого официального опубликования).

Статья 123. Установление минимальных розничных цен на водки и водки особые, водки с защищенным наименованием места происхождения товара, крепкие ликероводочные изделия, коньяк и бренди

Государством устанавливаются минимальные розничные цены на водки и водки особые, водки с защищенным наименованием места происхождения товара, крепкие ликероводочные изделия, коньяк и бренди в соответствии с законодательством Республики Казахстан о государственном регулировании производства и оборота этилового спирта и алкогольной продукции.

Сноска. Статья 123 - в редакции Закона РК от 31.12.2021 № 100 (вводится в действие с 01.03.2022).

Статья 124. Установление минимальных розничных цен на сигареты с фильтром, без фильтра, папиросы, сигариллы и изделия с нагреваемым табаком

Государством устанавливаются минимальные розничные цены на сигареты с фильтром, без фильтра, папиросы, сигариллы и изделия с нагреваемым табаком в соответствии с законодательством Республики Казахстан о государственном регулировании производства и оборота табачных изделий.

Сноска. Статья 124 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 124-1. Ценообразование на товарный и сжиженный нефтяной газ

1. Государство регулирует цены на товарный и сжиженный нефтяной газ в соответствии с законодательством Республики Казахстан о газе и газоснабжении.

2. Центральный исполнительный орган, осуществляющий государственное регулирование производства, транспортировки (перевозки), хранения и оптовой реализации газа, а также розничной реализации и потребления товарного и сжиженного нефтяного газа, в определенных им случаях и порядке по согласованию с уполномоченным органом, осуществляющим руководство в сферах естественных монополий, устанавливает предельные цены оптовой реализации товарного газа на внутреннем рынке, а также предельные цены оптовой и розничной реализации сжиженного нефтяного газа в рамках плана поставки вне товарных бирж.

3. Лица, осуществляющие реализацию товарного газа или сжиженного нефтяного газа в рамках плана поставки, обязаны не превышать установленные предельные цены.

Сноска. Глава 11 дополнена статьей 124-1 в соответствии с Законом РК от 29.03.2016 № 479-V (вводится в действие по истечении двадцати одного календарного дня после дня его первого официального опубликования); в редакции Закона РК от 29.06.2023 № 13-VIII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 124-2. Утверждение цен сырого и товарного газа, приобретаемого национальным оператором в рамках преимущественного права государства

Сноска. Заголовок с изменением, внесенным Законом РК от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Государством утверждаются цены сырого и товарного газа, приобретаемого национальным оператором в рамках преимущественного права государства, в соответствии с законодательством Республики Казахстан о газе и газоснабжении.

Сноска. Глава 11 дополнена статьей 124-2 в соответствии с Законом РК от 29.03.2016 № 479-V (вводится в действие по истечении двадцати одного календарного дня после дня его первого официального опубликования); в редакции Закона РК от 30.12.2019 № 297-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); с изменениями, внесенными от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 124-3. Тарифобразование энергопроизводящих организаций

Тарифобразование энергопроизводящих организаций осуществляется в соответствии с законодательством Республики Казахстан об электроэнергетике.

Сноска. Глава 11 дополнена статьей 124-3 в соответствии с Законом РК от 29.03.2016 № 479-V (вводится в действие по истечении двадцати одного календарного дня после дня его первого официального опубликования).

Статья 124-4. Регулирование цен на субсидируемые услуги

Государством регулируются цены на субсидируемые услуги в области почты, связи и перевозок в соответствии с законодательством Республики Казахстан о почте, связи, автомобильном транспорте и железнодорожном транспорте.

Сноска. Глава 11 дополнена статьей 124-4 в соответствии с Законом РК от 09.04.2016 № 499-V (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 11-1. Общественно значимые рынки

Сноска. Кодекс дополнен Главой 11-1 в соответствии с Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

Статья 124-5. Общественно значимые рынки

1. Государственное регулирование цен распространяется на товары (работы, услуги) субъектов общественно значимых рынков в областях:

1) розничной реализации электрической энергии энергоснабжающими организациями;

2) организации и проведения централизованной торговли электрической энергией, обеспечения готовности торговой системы к проведению централизованных торгов, централизованной покупки и продажи электрической энергии единым закупщиком электрической энергии в части затрат единого закупщика электрической энергии, связанных с осуществлением его деятельности, централизованной покупки услуги по поддержанию готовности электрической мощности и централизованной продажи услуги по обеспечению готовности электрической мощности к несению нагрузки единым закупщиком в части затрат единого закупщика, связанных с осуществлением его деятельности;

3) розничной реализации товарного газа, розничной реализации сжиженного нефтяного газа через групповые резервуарные установки;

4) оказания услуг аэропортов на внутренних рейсах: посадка-высадка пассажиров (посредством телескопического трапа), предоставление в аренду помещений аэропорта, используемых в целях обеспечения перевозочного процесса, обработка грузов, предоставление рабочего места (площади) для регистрации пассажиров, обеспечение воздушных судов авиационными горюче-смазочными материалами;

5) оказания услуг по перевозке грузов железнодорожным транспортом и локомотивной тяги, за исключением:

услуг по предоставлению в аренду железнодорожных грузовых вагонов и услуг оператора вагонов (контейнеров);

услуг по перевозке грузов железнодорожным транспортом в транзитном сообщении через территорию Республики Казахстан;

услуг по перевозке грузов в контейнерах, контрейлерными отправками, порожних контейнеров и порожних фитинговых платформ железнодорожным транспортом.

2. Государственное регулирование цен в областях, указанных в подпунктах 1) и 3) пункта 1 настоящей статьи, распространяется на субъектов рынка, государственное регулирование цен и государственный контроль за ценообразованием которых осуществлялись до 1 января 2017 года.

3. Государственное регулирование цен в областях, указанных в подпунктах 1) и 3) пункта 1 настоящей статьи, также распространяется на субъектов рынка, отвечающих в совокупности следующим условиям:

1) после 1 января 2017 года предоставляют услуги потребителям, которым ранее предоставляли услуги субъекты регулируемого рынка, государственное регулирование цен и государственный контроль за ценообразованием которых осуществлялись до 1 января 2017 года;

2) объем услуг, оказанных потребителям, указанным в подпункте 1) настоящего пункта, составляет тридцать пять и более процентов объема услуг субъекта рынка, государственное регулирование цен и государственный контроль за ценообразованием которых осуществлялись до 1 января 2017 года.

4. Уполномоченный орган, осуществляющий руководство в сферах естественных монополий, при осуществлении государственного контроля за соблюдением порядка ценообразования и обязанностей субъекта общественно значимого рынка взаимодействует с правоохранительными органами в пределах компетенции, установленной законодательством Республики Казахстан.

Сноска. Статья 124-5 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.04.2019 № 241-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 19.04.2023 № 223-VII (вводится в действие с 01.07.2023).

Статья 124-6. Компетенция уполномоченного органа, осуществляющего руководство в сферах естественных монополий, в области общественно значимых рынков

Уполномоченный орган, осуществляющий руководство в сферах естественных монополий:

1) вырабатывает предложения по формированию государственной политики на общественно значимых рынках;

2) осуществляет государственное регулирование цен и государственный контроль за соблюдением порядка ценообразования и обязанностей субъекта общественно значимого рынка;

3) разрабатывает и утверждает правила ценообразования на общественно значимых рынках;

4) осуществляет мониторинг цен субъектов общественно значимых рынков;

5) согласовывает предельные цены на товары (работы, услуги), реализуемые субъектами общественно значимых рынков;

5-1) снижает предельные цены на товары (работы, услуги), реализуемые субъектами общественно значимых рынков, в размере дохода, полученного в связи с:

неисполнением мероприятий инвестиционной программы, учтенных в предельных ценах;

неиспользованием средств на покупку и (или) передачу электрической энергии, товарного газа, учтенных в предельных ценах;

превышением объемов потребления товаров (работ, услуг), в том числе отдельными группами потребителей, учтенных в предельных ценах;

превышением предельной цены на товары (работы, услуги), согласованной уполномоченным органом, осуществляющим руководство в сферах естественных монополий;

6) проводит публичные слушания при рассмотрении уведомлений субъектов общественно значимых рынков о предстоящем повышении цен на товары (работы, услуги);

7) вносит субъекту общественно значимого рынка обязательные для исполнения предписания об исполнении им обязательств, предусмотренных настоящим Кодексом;

8) в случае неисполнения субъектом общественно значимого рынка предписания предъявляет в суд иск о понуждении субъекта общественно значимого рынка совершить действия, указанные в предписании;

9) возбуждает и рассматривает дела об административных правонарушениях, а также налагает административные взыскания в порядке, установленном Кодексом Республики Казахстан об административных правонарушениях;

10) запрашивает и получает информацию, необходимую для осуществления своих полномочий, от субъектов общественно значимых рынков с соблюдением установленных законодательными актами Республики Казахстан требований к разглашению сведений, составляющих коммерческую и иную охраняемую законом тайну;

10-1) Действовал до 01.01.2022 Законом РК от 27.12.2019 № 295-VІ.

10-2) разрабатывает и утверждает правила расчета и выплаты временной балансирующей платы, предусмотренной законодательством Республики Казахстан о железнодорожном транспорте, по согласованию с центральным исполнительным органом, осуществляющим руководство в сфере железнодорожного транспорта;

11) осуществляет иные полномочия, предусмотренные настоящим Кодексом, законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан.

Сноска. Статья 124-6 с изменениями, внесенными законами РК от 02.04.2019 № 241-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 27.12.2019 № 295-VІ (порядок введения в действия см ст.2); от 29.12.2022 № 174-VII (вводится в действие с 01.01.2022).

Статья 124-7. Государственное регулирование цен и государственный контроль за соблюдением порядка ценообразования и обязанностей субъекта общественно значимого рынка

1. Государственное регулирование цен и государственный контроль за соблюдением порядка ценообразования и обязанностей субъекта общественно значимого рынка осуществляются в целях защиты интересов потребителей и субъектов общественно значимых рынков.

2. Субъектом общественно значимого рынка является физическое или юридическое лицо, производящее (реализующее) товары (работы, услуги) на общественно значимых рынках.

3. Государственный контроль за соблюдением порядка ценообразования и обязанностей субъекта общественно значимого рынка осуществляется уполномоченным органом, осуществляющим руководство в сферах естественных монополий, в порядке, установленном настоящим Кодексом и правилами ценообразования на общественно значимых рынках.

Сноска. Статья 124-7 с изменением, внесенным Законом РК от 02.04.2019 № 241-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 124-8. Обязанности субъекта общественно значимого рынка

Субъект общественно значимого рынка обязан:

1) предоставлять в уполномоченный орган, осуществляющий руководство в сферах естественных монополий:

ежемесячную информацию об объемах производства (реализации), уровне доходности и отпускных ценах производимых (реализуемых) товаров (работ, услуг) по форме, утвержденной уполномоченным органом, осуществляющим руководство в сферах естественных монополий, не позднее последнего дня месяца, следующего за отчетным;

ежеквартальную финансовую отчетность в соответствии с законодательством Республики Казахстан о бухгалтерском учете и финансовой отчетности не позднее последнего дня месяца, следующего за отчетным кварталом;

не позднее 1 августа текущего календарного года и 1 мая следующего календарного года информацию по итогам полугодия, года об исполнении либо о неисполнении инвестиционной программы, учтенной в предельной цене, по форме, утвержденной уполномоченным органом, осуществляющим руководство в сферах естественных монополий;

информацию, необходимую для проведения экспертизы цены, в электронной форме в сроки, установленные уполномоченным органом, осуществляющим руководство в сферах естественных монополий, которые не могут быть менее пяти рабочих дней со дня получения субъектом общественно значимого рынка соответствующего требования;

информацию об отпускных ценах с приложением обосновывающих материалов, подтверждающих уровень цены, не позднее тридцати календарных дней со дня введения государственного регулирования цен или с момента начала производства (реализации) товаров, работ, услуг либо не менее чем за тридцать календарных дней до предстоящего повышения отпускной цены на товары, работы, услуги;

полугодовую информацию об использовании средств по покупке и (или) передаче электрической энергии, товарного газа, учтенных в предельной цене, с приложением подтверждающих материалов не позднее двадцать пятого числа месяца, следующего за отчетным полугодием, за исключением субъектов общественно значимых рынков, указанных в подпунктах 2), 4) и 5) пункта 1 статьи 124-5 настоящего Кодекса;

2) предоставлять в уполномоченный орган, осуществляющий руководство в сферах естественных монополий, в электронной форме не менее чем за тридцать календарных дней информацию о предстоящем повышении цен на товары (работы, услуги) выше предельной цены и причинах их повышения с представлением обосновывающих материалов, подтверждающих причины повышения;

3) соблюдать порядок ценообразования на общественно значимых рынках;

4) исполнять мероприятия инвестиционной программы (проекта), учтенные в предельных ценах в соответствии с порядком ценообразования на общественно значимых рынках;

4-1) размещать в средствах массовой информации в порядке, определяемом уполномоченным органом, осуществляющим руководство в сферах естественных монополий:

полугодовую информацию об использовании средств по покупке и (или) передаче электрической энергии, товарного газа, учтенных в предельной цене, не позднее двадцать пятого числа месяца, следующего за отчетным полугодием, за исключением субъектов общественно значимых рынков, указанных в подпунктах 2), 4) и 5) пункта 1 статьи 124-5 настоящего Кодекса;

полугодовую информацию о доходе, полученном в результате превышения объемов потребления товаров (работ, услуг), в том числе отдельными группами потребителей, учтенных в предельной цене, не позднее двадцать пятого числа месяца, следующего за отчетным полугодием;

полугодовую информацию об исполнении либо о неисполнении инвестиционной программы, учтенной в предельной цене, не позднее двадцать пятого числа месяца, следующего за отчетным полугодием;

информацию о повышении предельных цен на товары (работы, услуги) и обосновывающие материалы не позднее пяти рабочих дней со дня их направления на согласование уполномоченному органу, осуществляющему руководство в сферах естественных монополий;

5) возвратить доход, полученный и не использованный на реализацию инвестиционных программ (проектов), учтенных в предельных ценах, напрямую потребителям либо в случае невозможности установления полного перечня потребителей путем снижения уровня предельной цены на предстоящий период в соответствии с порядком ценообразования на общественно значимых рынках;

6) возвратить доход, полученный в результате необоснованного превышения предельной цены, напрямую потребителям не позднее тридцати календарных дней с момента установления такого факта уполномоченным органом, осуществляющим руководство в сферах естественных монополий, либо путем снижения уровня предельной цены на предстоящий период в соответствии с порядком ценообразования на общественно значимых рынках в случае невозможности установления полного перечня потребителей;

7) исполнять предписания уполномоченного органа, осуществляющего руководство в сферах естественных монополий, в сроки, установленные уполномоченным органом, осуществляющим руководство в сферах естественных монополий, не превышающие тридцати календарных дней со дня их получения;

8) размещать на своем интернет-ресурсе либо интернет-ресурсе уполномоченного органа, осуществляющего руководство в сферах естественных монополий, информацию об отпускных ценах, о результатах публичных слушаний и финансовой отчетности.

Сноска. Статья 124-8 с изменениями, внесенными законами РК от 02.04.2019 № 241-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 124-9. Права и обязанности потребителя услуг (товаров, работ) субъекта общественно значимого рынка

1. Потребитель услуг (товаров, работ) субъекта общественно значимого рынка вправе:

1) приобретать услуги (товары, работы) субъекта общественно значимого рынка в порядке и по ценам, не превышающим предельные цены (ставки сборов), которые установлены уполномоченным органом, осуществляющим руководство в сферах естественных монополий;

2) обжаловать в порядке, установленном законами Республики Казахстан, действия (бездействие) уполномоченного органа, осуществляющего руководство в сферах естественных монополий, а также принятые им решения;

3) обжаловать в уполномоченный орган, осуществляющий руководство в сферах естественных монополий, и (или) в судебном порядке действия (бездействие) субъекта общественно значимого рынка, противоречащие законодательству Республики Казахстан;

4) участвовать в публичных слушаниях;

5) иметь иные права, предусмотренные законодательством Республики Казахстан.

2. Потребитель услуг (товаров, работ) субъекта общественно значимого рынка обязан:

1) своевременно и в полном объеме оплачивать услуги (товары, работы) субъекта общественно значимого рынка по ценам, не превышающим предельные цены (ставки сборов), которые установлены уполномоченным органом, осуществляющим руководство в сферах естественных монополий;

2) выполнять технические требования, устанавливаемые субъектом общественно значимого рынка в соответствии с законодательством Республики Казахстан.

Сноска. Статья 124-9 с изменением, внесенным Законом РК от 29.06.2020 № 351-VI (вводится в действие с 01.07.2021).

Статья 124-10. Государственный контроль за соблюдением порядка ценообразования и обязанностей субъекта общественно значимого рынка

1. Государственный контроль за соблюдением порядка ценообразования и обязанностей субъекта общественно значимого рынка осуществляется в форме проверки и профилактического контроля с посещением субъекта (объекта) контроля уполномоченным органом, осуществляющим руководство в сферах естественных монополий, и его территориальными подразделениями либо уполномоченным органом в сфере гражданской авиации в соответствии с настоящим Кодексом.

2. При осуществлении государственного контроля за соблюдением порядка ценообразования и обязанностей субъекта общественно значимого рынка принимаются следующие меры реагирования:

1) возбуждение дела об административном правонарушении;

2) вынесение предписания об устранении нарушения порядка ценообразования и обязанностей субъекта общественно значимого рынка;

3) передача материалов в правоохранительные и иные органы.

3. Профилактический контроль без посещения субъекта (объекта) контроля осуществляется в соответствии с настоящим Кодексом.

Профилактический контроль без посещения субъекта (объекта) контроля осуществляется уполномоченным органом, осуществляющим руководство в сферах естественных монополий, и его территориальными подразделениями либо уполномоченным органом в сфере гражданской авиации без посещения субъектов (объектов) контроля на основе анализа и данных информационных систем, открытых источников, средств массовой информации, а также других сведений о деятельности субъекта (объекта) контроля.

4. Субъектами контроля являются субъекты общественно значимых рынков.

5. Целями профилактического контроля без посещения субъекта (объекта) контроля являются своевременное пресечение и недопущение нарушений, предоставление субъекту (объекту) контроля права самостоятельного устранения нарушений, выявленных по результатам профилактического контроля без посещения субъекта (объекта) контроля, и снижение административной нагрузки на субъект контроля.

Для предоставления права самостоятельного устранения нарушений субъектам контроля профилактический контроль без посещения субъекта (объекта) контроля проводится только по тем нарушениям, последствия которых возможно устранить в соответствии с законодательством Республики Казахстан.

6. По итогам профилактического контроля без посещения субъекта (объекта) контроля составляется рекомендация об устранении выявленных нарушений без возбуждения дела об административном правонарушении с обязательным разъяснением субъекту контроля порядка их устранения.

7. Рекомендация об устранении нарушений, выявленных по результатам профилактического контроля без посещения субъекта (объекта) контроля, должна быть вручена субъекту контроля лично под роспись или иным способом, подтверждающим факты отправки и получения.

Рекомендация об устранении нарушений, выявленных по результатам профилактического контроля без посещения субъекта (объекта) контроля, направленная одним из нижеперечисленных способов, считается врученной в следующих случаях:

1) нарочно – с даты отметки в рекомендации о получении;

2) почтой – заказным письмом с уведомлением;

3) электронным способом – с даты отправки уполномоченным органом, осуществляющим руководство в сферах естественных монополий, и его территориальными подразделениями либо уполномоченным органом в сфере гражданской авиации на электронный адрес субъекта контроля, указанный в письме при запросе уполномоченного органа, осуществляющего руководство в сферах естественных монополий, и его территориальных подразделений либо уполномоченного органа в сфере гражданской авиации.

8. Рекомендация об устранении нарушений, выявленных по результатам профилактического контроля без посещения субъекта (объекта) контроля, должна быть исполнена в течение десяти рабочих дней со дня, следующего за днем ее вручения.

9. Субъект контроля в случае несогласия с нарушениями, указанными в рекомендации, вправе направить в уполномоченный орган, осуществляющий руководство в сферах естественных монополий, и его территориальные подразделения либо уполномоченный орган в сфере гражданской авиации, направившие рекомендацию, возражение в течение пяти рабочих дней со дня, следующего за днем ее вручения.

10. Неисполнение в установленный срок рекомендации об устранении нарушений, выявленных по результатам профилактического контроля без посещения субъекта (объекта) контроля, влечет назначение профилактического контроля с посещением субъекта (объекта) контроля путем включения в полугодовой список проведения профилактического контроля с посещением субъекта (объекта) контроля.

11. Профилактический контроль без посещения в отношении субъектов (объектов) контроля проводится не чаще одного раза в квартал.

Сноска. Глава 11-1 дополнена статьей 124-10 в соответствии с Законом РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 12. ОБЯЗАТЕЛЬНОЕ СТРАХОВАНИЕ

Статья 125. Обязательное страхование гражданско-правовой ответственности субъектов предпринимательства

Обязательное страхование гражданско-правовой ответственности субъектов предпринимательства устанавливается законами Республики Казахстан.

Статья 126. Цель обязательного страхования

Целью обязательного страхования является возмещение вреда, причиненного жизни и (или) здоровью, имуществу третьих лиц, окружающей среде, посредством осуществления страховых выплат.

Статья 127. Объект обязательного страхования гражданско-правовой ответственности субъектов предпринимательства

Объектом обязательного страхования гражданско-правовой ответственности субъектов предпринимательства является имущественный интерес субъекта предпринимательства, связанный с его обязанностью, установленной гражданским законодательством Республики Казахстан, возместить имущественный вред, причиненный жизни и (или) здоровью физических лиц, имуществу третьих лиц, окружающей среде при осуществлении предпринимательской деятельности.

Статья 128. Осуществление обязательного страхования

1. Договоры обязательного страхования гражданско-правовой ответственности заключаются субъектами предпринимательства на случай возмещения вреда, причиненного жизни и (или) здоровью физических лиц, имуществу третьих лиц, окружающей среде при осуществлении предпринимательской деятельности.

2. Заключение субъектом предпринимательства договора добровольного страхования своей гражданско-правовой ответственности за вред, причиненный жизни и (или) здоровью, имуществу третьих лиц, окружающей среде, связанный с осуществлением предпринимательской деятельности, не освобождает его от обязанности по заключению соответствующего договора обязательного страхования ответственности субъекта предпринимательства, предусмотренной законами Республики Казахстан.

Глава 13. ГОСУДАРСТВЕННЫЙ КОНТРОЛЬ И НАДЗОР Параграф 1. Общие положения о государственном контроле и надзоре

Статья 129. Отношения в сфере государственного контроля и надзора

1. Регулирование отношений в сфере государственного контроля и надзора осуществляется в целях установления общих правовых основ государственного контроля и надзора в Республике Казахстан и направлено на установление единых принципов осуществления контрольной и надзорной деятельности, а также защиту прав и законных интересов государственных органов, физических и юридических лиц, в отношении которых осуществляются государственный контроль и надзор.

Примечание ИЗПИ!
В пункт 2 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2. Государственное регулирование отношений в области организации проведения государственного контроля и надзора за субъектами (объектами) государственного контроля и надзора осуществляется в соответствии с настоящим Кодексом независимо от правового статуса и видов деятельности, за исключением случаев, предусмотренных пунктами 4, 5, 6, 7, 8, 9, 11, 12 и 14 настоящей статьи.

3. Настоящим Кодексом устанавливаются:

1) порядок проведения государственного контроля и надзора;

2) порядок взаимодействия органов контроля и надзора при проведении государственного контроля и надзора;

3) права и обязанности субъектов государственного контроля и надзора при проведении государственного контроля и надзора, меры по защите их прав и законных интересов;

4) права и обязанности органов контроля и надзора и их должностных лиц при проведении государственного контроля и надзора.

4. Действие настоящей главы, за исключением настоящей статьи, статьи 130, пунктов 1, 2, 3 и 4 статьи 131 и статьи 131-1 настоящего Кодекса, не распространяется на государственный контроль и надзор, когда невозможно заранее определить субъект (объект) государственного контроля и надзора, время их проведения, местонахождение субъекта (объекта) государственного контроля и надзора, связанные с:

1) соблюдением требований безопасности дорожного движения;

2) проездом автомобильных транспортных средств по территории Республики Казахстан на постах транспортного контроля на предмет соблюдения требований безопасности на транспорте;

3) государственным контролем и надзором за выполнением требований по безопасной эксплуатации судов в соответствии с законами Республики Казахстан "О внутреннем водном транспорте" и "О торговом мореплавании";

4) осуществлением государственного ветеринарно-санитарного контроля и надзора и государственного карантинного фитосанитарного контроля и надзора на торговых рынках, реализующих живых животных, продукцию и сырье животного и (или) растительного происхождения, в организациях, осуществляющих производство, заготовку (убой животных), хранение, переработку продуктов и сырья животного и (или) растительного происхождения в едином технологическом цикле;

5) соблюдением на особо охраняемых природных территориях и территории государственного лесного фонда требований в области особо охраняемых природных территорий, охраны, защиты, пользования государственным лесным фондом, воспроизводства лесов и лесоразведения, а также с целью осуществления государственного контроля за несанкционированным изъятием объектов животного и растительного мира;

5-1) соблюдением требований в области охраны, защиты, восстановления и использования дикорастущих растений;

6) соблюдением требований пользования животным миром с целью осуществления государственного контроля и надзора за несанкционированным изъятием объектов животного мира на:

рыбохозяйственных водоемах – в части установленной промысловой меры рыб, размеров, видов орудий и способов рыболовства, ограничений и запретов на пользование животным миром, прилова, а также за ведением журнала учета вылова рыбных ресурсов и других водных животных (промысловый журнал);

территории охотничьих хозяйств – в части изъятия, способа и вида орудий добывания животных, их половозрастного состава, ограничений и запретов на пользование животным миром;

7) государственным контролем и надзором мероприятий в карантинных зонах и неблагополучных пунктах, очагах по особо опасным болезням животных, очагах распространения карантинных объектов, особо опасных вредных организмов;

Примечание ИЗПИ!
Подпункт 8) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

8) государственным контролем за соблюдением правил перевозок пассажиров, багажа и грузобагажа в пассажирских поездах;

9) торговлей вне мест, установленных местным исполнительным органом;

10) государственным контролем в области миграции населения;

11) соблюдением требований законодательства Республики Казахстан, регламентирующего продажу алкогольной продукции лицам в возрасте до двадцати одного года, табачной продукции, распространение информационной продукции, содержащей информацию, запрещенную для детей, лицам в возрасте до восемнадцати лет, а также порядок нахождения несовершеннолетних в развлекательных заведениях.

Примечание ИЗПИ!
В статью 129 предусмотрено дополнить пунктом 4-1 в соответствии с Законом РК от 15.04.2024 № 72-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5. Действие настоящей главы, за исключением настоящей статьи, статьи 130, пунктов 1, 2, 3 и 4 статьи 131, пунктов 2 и 3 статьи 154 и статьи 157 настоящего Кодекса, не распространяется на осуществление государственного контроля с целью обеспечения соблюдения требований бюджетного законодательства Республики Казахстан и иных нормативных правовых актов, регулирующих вопросы планирования и исполнения республиканского и местного бюджетов, проводимого в соответствии с законодательством Республики Казахстан о государственном аудите и финансовом контроле.

6. Действие настоящей главы, за исключением статьи 130, пунктов 1, 2, 3 и 4 статьи 131, статьи 131-1, пунктов 2 и 3 статьи 154 и статьи 157 настоящего Кодекса, не распространяется на государственный контроль, связанный с исполнением договорных отношений в части:

1) государственного контроля за выполнением недропользователями условий контрактов и (или) лицензий на недропользование;

2) государственного контроля за соблюдением правовых актов индивидуального применения;

3) государственного контроля за исполнением договоров и иных сделок, предусмотренных законодательством Республики Казахстан.

Примечание ИЗПИ!
Пункт 6 предусмотрено дополнить подпунктом 4) в соответствии с Законом РК от 15.04.2024 № 72-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

7. Действие настоящей главы не распространяется на проведение разрешительного контроля на соответствие заявителя квалификационным или разрешительным требованиям до выдачи разрешения и (или) приложения к разрешению в случаях, предусмотренных Законом Республики Казахстан "О разрешениях и уведомлениях", и если законодательством Республики Казахстан предусмотрен такой контроль.

8. Действие настоящей главы, за исключением пунктов 1, 2, 3 и 4 статьи 131 и статьи 131-1 настоящего Кодекса, не распространяется на государственный контроль в сфере таможенного дела.

Примечание ИЗПИ!
В абзац первый пункта 9 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

9. Действие настоящей главы, за исключением настоящей статьи (в части государственного ветеринарно-санитарного контроля и надзора, государственного карантинного фитосанитарного контроля и надзора, государственного контроля в области защиты растений), статьи 130, пунктов 1, 2, 3 и 4 статьи 131 и статьи 131-1 настоящего Кодекса, не распространяется на государственный контроль и надзор, связанные с:

1) пересечением Государственной границы Республики Казахстан;

Примечание ИЗПИ!
В подпункт 2) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2) проведением государственного ветеринарно-санитарного контроля и надзора, государственного карантинного фитосанитарного контроля и надзора, государственного контроля в области защиты растений при пересечении таможенной границы Евразийского экономического союза и (или) Государственной границы Республики Казахстан и (или) в местах доставки, местах завершения таможенной очистки, определяемых в соответствии с международными договорами, а также проведением государственного карантинного фитосанитарного контроля и надзора, ветеринарно-санитарного контроля на фитосанитарных и ветеринарных контрольных постах.

Примечание ИЗПИ!
В пункт 10 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

10. Действие настоящей главы, за исключением настоящей статьи, пункта 1 статьи 130, статей 131-1, 143, 144, 151, 153, 154, 155, 156 и 157 настоящего Кодекса, не распространяется на осуществление государственного контроля и надзора с целью обеспечения исполнения норм налогового законодательства Республики Казахстан, иного законодательства Республики Казахстан, государственный контроль за исполнением которого возложен на органы государственных доходов.

11. Действие настоящей главы, за исключением настоящей статьи, статьи 130, пунктов 1, 2, 3 и 4 статьи 131, статей 138 и 139, пунктов 2 и 3 статьи 154 и статьи 157 настоящего Кодекса, не распространяется на осуществление государственного контроля и надзора с целью обеспечения соблюдения требований финансового законодательства Республики Казахстан, а также государственного контроля и надзора финансового рынка, финансовых организаций, операторов и операционных центров платежных систем, платежных организаций, а также коллекторских агентств.

12. Действие настоящей главы не распространяется на отношения в сферах:

1) высшего надзора за соблюдением законности на территории Республики Казахстан, осуществляемого органами прокуратуры;

2) контроля и надзора в ходе досудебного производства по уголовному делу;

3) правосудия;

4) оперативно-розыскной деятельности;

5) контрразведывательной деятельности;

6) государственного контроля в области мобилизационной подготовки и мобилизации;

7) контроля за соблюдением требований законодательства Республики Казахстан о государственных секретах.

8) государственного контроля в сфере контроля специфических товаров.

13. Действие настоящей главы, за исключением настоящей статьи, статей 130, 131-1, 133, пунктов 2 и 3 статьи 154 и статьи 157 настоящего Кодекса, не распространяется на отношения в сферах:

1) государственного контроля, осуществляемого органами внутренних дел по:

соблюдению требований законодательства Республики Казахстан в сфере оборота гражданского и служебного оружия и патронов к нему;

соблюдению физическими лицами требований хранения, ношения и использования гражданского оружия;

соблюдению требований законодательства Республики Казахстан в сфере оборота наркотических средств, психотропных веществ и прекурсоров, гражданских пиротехнических веществ и изделий с их применением в рамках требований статьи 133 настоящего Кодекса и проводимых оперативно-профилактических мероприятий органов внутренних дел;

2) соблюдения требований законодательства Республики Казахстан о противодействии терроризму в части обеспечения антитеррористической защищенности объектов, уязвимых в террористическом отношении;

3) соблюдения требований законодательства Республики Казахстан в области защиты конкуренции;

4) соблюдения законодательства Республики Казахстан в области государственной статистики;

5) соблюдения требований законодательства Республики Казахстан в области легального оборота взрывчатых веществ.

Отношения, возникающие при проведении государственного контроля за соблюдением требований законодательства Республики Казахстан в области защиты конкуренции, осуществляемого антимонопольным органом, регулируются главой 20 настоящего Кодекса.

14. Действие настоящей главы, за исключением настоящей статьи, пунктов 1 и 3 статьи 130, пунктов 1, 2, 3 и 4 статьи 131 настоящего Кодекса, не распространяется на государственный контроль и надзор, связанный с соблюдением физическими и юридическими лицами требований по безопасности полетов воздушных судов и авиационной безопасности.

Примечание ИЗПИ!
В пункт 15 предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

15. При этом обязательной регистрации в уполномоченном органе в области правовой статистики и специальных учетов подлежат проверки, осуществляемые по основаниям, указанным в подпункте 11) пункта 4, пунктах 5 (за исключением проверок служб внутреннего аудита) и 10 (за исключением контроля на акцизных постах), подпунктах 1), 2) и 5) пункта 13 настоящей статьи.

При этом акт о назначении проверок, указанных в подпункте 11) пункта 4, подпунктах 1) (в области наркотических средств, психотропных веществ и прекурсоров) и 2) пункта 13 настоящей статьи, подлежит регистрации в уполномоченном органе в области правовой статистики и специальных учетов в течение следующего рабочего дня после начала проверки.

Органы контроля и надзора ежеквартально не позднее пятого числа месяца, следующего за отчетным кварталом, представляют в уполномоченный орган в области правовой статистики и специальных учетов сведения о проведенных проверках в отношении субъектов частного предпринимательства, указанных в части первой настоящего пункта, по форме, определенной Генеральной прокуратурой Республики Казахстан.

16. Действие настоящей главы, за исключением статьи 130, пунктов 1, 2, 3 и 4 статьи 131, статьи 131-1, пунктов 2 и 3 статьи 154 и статьи 157 настоящего Кодекса, не распространяется на осуществление:

1) государственного контроля за качеством оказания государственных услуг;

2) государственного контроля за соблюдением законодательства Республики Казахстан, субъектами которого являются государственные органы.

Примечание ИЗПИ!
В пункт 17 предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

17. Порядок проведения государственного контроля и надзора, указанных в пунктах 4, 5, 6, 11, 12 и 14 настоящей статьи, и возникающие при этом отношения регулируются законами Республики Казахстан.

Порядок проведения государственного контроля и надзора, указанных в пунктах 8 и 9 настоящей статьи, и возникающие при этом отношения регламентируются законами Республики Казахстан, международными договорами Республики Казахстан и актами, составляющими право Евразийского экономического союза.

18. На отношения, перечисленные в пунктах 5, 6 и 12 настоящей статьи, в части внутреннего контроля распространяется действие статьи 38 Административного процедурно-процессуального кодекса Республики Казахстан.

Примечание ИЗПИ!
Статью 129 предусмотрено дополнить пунктом 18-1 в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).
Примечание ИЗПИ!
В часть первую пункта 19 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

19. Запрещается проводить государственный контроль и надзор в случаях, если в законах Республики Казахстан отсутствует регламентация порядка проведения государственного контроля и надзора, указанных в пунктах 4, 5, 6, 9, 11, 12 и 14 настоящей статьи.

Запрещается проводить государственный контроль и надзор в случаях, если в законах Республики Казахстан, международных договорах и актах, составляющих право Евразийского экономического союза, отсутствует регламентация порядка проведения государственного контроля и надзора, указанных в пункте 8 настоящей статьи.

20. Государственный контроль и надзор в отношении субъектов предпринимательства осуществляются только в сферах деятельности субъектов предпринимательства, предусмотренных статьями 138 и 139 настоящего Кодекса.

Примечание ИЗПИ!
В пункт 21 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

21. Для включения в статьи 138 и 139 настоящего Кодекса новых сфер деятельности регулирующие государственные органы должны предварительно провести процедуру анализа регуляторного воздействия в соответствии со статьей 83 настоящего Кодекса.

22. В случаях, прямо предусмотренных законами Республики Казахстан, положения настоящей главы применяются к отношениям, урегулированным этими законами Республики Казахстан., урегулированным этими законами.

Сноска. Статья 129 - в редакции Закона РК от 30.12.2021 № 95-VII (порядок введения в действие см ст.2); с изменениями, внесенными законами от 28.12.2022 № 173-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования); от 02.01.2023 № 184-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 130. Цель и задачи государственного контроля и надзора

1. Целью государственного контроля и надзора является обеспечение безопасности производимой и реализуемой субъектом государственного контроля и надзора продукции, технологических процессов для жизни и здоровья людей, защиты их имущества, безопасности для окружающей среды, национальной безопасности Республики Казахстан, включая экономическую безопасность, предупреждения обманной практики, экономии природных и энергетических ресурсов, повышения конкурентоспособности отечественной продукции и защиты конституционных прав, свобод и законных интересов физических и юридических лиц.

2. Государственным органам запрещается принимать подзаконные нормативные правовые акты по вопросам порядка проведения государственного контроля и надзора субъектов предпринимательства, за исключением нормативных правовых актов, предусмотренных пунктом 6 статьи 141, пунктом 1 статьи 143, пунктом 1 статьи 144-3 и пунктом 5 статьи 144-4 настоящего Кодекса.

3. Задачами государственного контроля и надзора являются:

1) обеспечение профилактики правонарушений, причинения вреда (ущерба);

2) стимулирование добросовестных субъектов государственного контроля и надзора;

3) принятие мер по устранению выявленных правонарушений.

Сноска. Статья 130 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 131. Гарантии для субъектов предпринимательства при осуществлении государственного контроля и надзора

Сноска. Заголовок статьи 131 с изменением, внесенным Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

1. Государственный контроль и надзор за деятельностью субъектов предпринимательства осуществляются государственными органами, которым такое право предоставлено настоящим Кодексом и законами Республики Казахстан.

2. Государственный контроль и надзор за предпринимательством осуществляется на основе принципов независимости, объективности, беспристрастности, достоверности форм государственного контроля и надзора.

3. Государством гарантируются подотчетность и прозрачность системы государственного контроля и надзора.

4. Проведение государственного контроля и надзора осуществляется на основе поощрения добросовестных субъектов государственного контроля и надзора, концентрации государственного контроля и надзора на нарушителях.

5. Запрещается проведение профилактического контроля с посещением субъектов (объектов) государственного контроля и надзора без проведения профилактического контроля без посещения субъектов (объектов) государственного контроля и надзора в соответствии со статьей 144-1 настоящего Кодекса, если законами Республики Казахстан предусмотрено проведение профилактического контроля без посещения субъектов (объектов) государственного контроля и надзора.

6. Запрещается проведение государственного контроля и надзора в отношении субъектов малого предпринимательства, в том числе микропредпринимательства, в течение трех лет со дня их государственной регистрации (кроме созданных юридических лиц в порядке реорганизации и правопреемников реорганизованных юридических лиц), за исключением внеплановых проверок.

Положение части первой настоящего пункта в части государственного контроля, определенного Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс), распространяется только на налоговые проверки.

Сноска. Статья 131 с изменениями, внесенными Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 131-1. Единый день отчета

1. В целях улучшения взаимодействия субъектов предпринимательства и государства ежегодно в последний четверг сентября проводится Единый день отчета органов контроля и надзора, за исключением Национального Банка Республики Казахстан и уполномоченного органа по регулированию, контролю и надзору финансового рынка и финансовых организаций, в порядке, определяемом уполномоченным органом по предпринимательству.

2. Единым днем отчета является встреча в столице, городах республиканского значения и областных центрах по обсуждению с субъектами предпринимательства результатов осуществления государственного контроля и надзора и профилактике нарушений законодательства Республики Казахстан.

Сноска. Закон дополнен статьей 131-1 в соответствии с Законом РК от 30.12.2020 № 397-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования).

Статья 132. Субъекты и объекты государственного контроля и надзора. Требования, предъявляемые к деятельности субъектов (объектов) государственного контроля и надзора

1. Субъектами государственного контроля и надзора являются физические лица, юридические лица, их филиалы и представительства, государственные органы, за деятельностью которых осуществляются государственный контроль и надзор.

Объектом государственного контроля и надзора является имущество, находящееся на праве собственности или ином законном основании у субъекта государственного контроля и надзора, подлежащее государственному контролю и надзору.

2. Требования, предъявляемые к деятельности субъектов (объектов) государственного контроля и надзора, устанавливаются нормативными правовыми актами, а в случаях, предусмотренных законами Республики Казахстан, только законами Республики Казахстан, указами Президента Республики Казахстан и постановлениями Правительства Республики Казахстан.

Сноска. Статья 132 в редакции Закона РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); с изменением, внесенным Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 133. Гарантии субъектов частного предпринимательства при осуществлении государственного контроля и надзора правоохранительными органами

В отношении субъектов частного предпринимательства правоохранительные органы проводят контрольные и (или) надзорные мероприятия только в рамках оперативно-розыскной деятельности, уголовного преследования, административного производства и (или) реализации регулятивных функций, осуществляемых правоохранительными органами, а также в иных случаях, предусмотренных законами Республики Казахстан.

Статья 134. Государственный контроль

1. Государственным контролем (далее – контроль) является деятельность органа контроля и надзора по проверке и наблюдению на предмет соответствия деятельности субъектов (объектов) контроля и надзора требованиям, установленным законодательством Республики Казахстан.

2. Контроль подразделяется на внутренний и внешний.

3. Порядок проведения внутреннего контроля определяется Административным процедурно-процессуальным кодексом Республики Казахстан.

4. Внешним контролем является контроль, осуществляемый органом контроля и надзора по проверке и наблюдению на предмет соответствия деятельности субъектов (объектов) контроля и надзора требованиям, указанным в пункте 2 статьи 132 и пункте 3 статьи 143 настоящего Кодекса.

Порядок проведения внешнего контроля определяется статьей 137 и параграфом 2 главы 13 настоящего Кодекса.

По результатам внешнего контроля в случае выявления нарушений законодательства Республики Казахстан государственные органы в пределах своей компетенции возбуждают административное, дисциплинарное производство либо инициируют соответствующие исковые заявления в пределах своей компетенции и (или) принимают иные меры, предусмотренные законами Республики Казахстан.

Сноска. Статья 134 с изменениями, внесенными законами РК от 29.06.2020 № 351-VI (вводится в действие с 01.07.2021); от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 135. Государственный надзор

1. Государственным надзором (далее – надзор) является деятельность органа контроля и надзора по проверке и наблюдению на предмет соответствия деятельности субъектов (объектов) контроля и надзора требованиям, установленным законодательством Республики Казахстан, с правом применения мер оперативного реагирования в ходе ее осуществления.

2. Надзор заключается в применении органом контроля и надзора мер оперативного реагирования без возбуждения административного производства.

3. Надзор подразделяется на:

1) высший надзор за соблюдением законности на территории Республики Казахстан, осуществляемый органами прокуратуры от имени государства в соответствии с Конституцией Республики Казахстан, Конституционным законом Республики Казахстан "О прокуратуре" и иным законодательством Республики Казахстан;

2) надзор, осуществляемый органами контроля и надзора в порядке и на условиях, установленных настоящим Кодексом и иными законами Республики Казахстан.

Сноска. Статья 135 в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 136. Меры оперативного реагирования

Примечание ИЗПИ!
В пункт 1 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1. Мерами оперативного реагирования являются предусмотренные законами Республики Казахстан способы воздействия на субъектов (объектов) контроля и надзора в целях предотвращения наступления общественно опасных последствий, применяемые в ходе осуществления и по результатам контроля и надзора.

Запрещается применять меры оперативного реагирования в случаях, если в законах Республики Казахстан отсутствует порядок их применения.

2. Меры оперативного реагирования применяются органами контроля и надзора в случаях, предусмотренных законами Республики Казахстан, если деятельность, товар (работа, услуга) субъекта (объекта) контроля и надзора представляют непосредственную угрозу конституционным правам, свободам и законным интересам физических и юридических лиц, жизни и здоровью людей, окружающей среде, национальной безопасности Республики Казахстан.

3. Порядок применения мер оперативного реагирования, устанавливаемый законами Республики Казахстан, включает:

1) основания для применения мер оперативного реагирования;

2) виды мер оперативного реагирования и условия их применения к конкретным нарушениям требований;

Примечание ИЗПИ!
Часть первая подпункта 3) предусмотрена в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3) порядок оформления предписания (акта, постановления) о применении меры (мер) оперативного реагирования.

Примечание ИЗПИ!
Подпункт 3) предусмотрено дополнить частями второй и четвертой в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Перечень требований, включенных в соответствии со статьей 143 настоящего Кодекса в проверочный лист, нарушение которых является основанием для применения мер оперативного реагирования, определяется законодательством Республики Казахстан.

Примечание ИЗПИ!
Статью 136 предусмотрено дополнить пунктом 3-1 в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).
Примечание ИЗПИ!
В пункт 4 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4. Меры оперативного реагирования применяются органами контроля и надзора в сферах деятельности, определенных статьей 139 настоящего Кодекса.

Сноска. Статья 136 с изменениями, внесенными Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 137. Формы контроля

1. Контроль за деятельностью субъектов (объектов) контроля и надзора осуществляется в форме:

1) профилактического контроля, носящего предупредительно-профилактический характер, порядок организации и проведения которого определяется настоящим Кодексом и иными законами Республики Казахстан;

2) проверки, порядок организации и проведения которой определяется настоящим Кодексом, а в случаях, предусмотренных настоящим Кодексом, – иными законами Республики Казахстан;

3) расследования.

2. Профилактический контроль подразделяется на виды:

1) профилактический контроль без посещения субъекта (объекта) контроля и надзора;

2) профилактический контроль с посещением субъекта (объекта) контроля и надзора;

3) контрольный закуп.

3. Проверки делятся на следующие виды:

1) проверки, проводимые на соответствие квалификационным или разрешительным требованиям по выданным разрешениям, требованиям по направленным уведомлениям в соответствии с Законом Республики Казахстан "О разрешениях и уведомлениях" (далее – проверка на соответствие требованиям);

2) внеплановые проверки.

4. Расследование как одна из форм контроля представляет собой комплекс действий органов контроля и надзора, осуществляемых в соответствии со статьей 144–4 настоящего Кодекса и иным законодательством Республики Казахстан.

5. Профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверки проводят органы контроля и надзора путем совершения одного из следующих действий:

1) посещения субъекта (объекта) контроля и надзора должностным лицом органа контроля и надзора;

2) запроса необходимой информации, касающейся предмета профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

3) вызова субъекта контроля и надзора с целью получения информации о соблюдении им требований, предусмотренных пунктом 2 статьи 132 и пунктом 3 статьи 143 настоящего Кодекса.

6. Предметом профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки является соблюдение субъектами контроля и надзора требований, установленных в проверочных листах в соответствии с пунктом 2 статьи 132 и пунктом 3 статьи 143 настоящего Кодекса.

Примечание ИЗПИ!
В часть первую пункта 7 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

7. В рамках профилактического контроля или проверки могут применяться меры оперативного реагирования в соответствии с положениями статьи 136 настоящего Кодекса.

Примечание ИЗПИ!
Часть вторая предусмотрена в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Орган контроля и надзора в ходе проведения профилактического контроля или проверки при обнаружении факта нарушения требования проверочного листа, являющегося основанием для применения меры (мер) оперативного реагирования, оформляет соответствующее предписание (акт, постановление) о применении меры (мер) оперативного реагирования.

Сноска. Статья 137 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 138. Сферы деятельности субъектов предпринимательства, в которых осуществляется контроль

Контроль осуществляется:

1) в области электроэнергетики;

2) в области энергосбережения и повышения энергоэффективности;

3) исключен Законом РК от 27.12.2017 № 126-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования);

4) в области изучения и использования недр;

5) в сфере газа и газоснабжения;

6) в области радиационной безопасности населения;

6-1) в области промышленной безопасности;

7) при проведении операций по недропользованию в области углеводородов, добычи урана;

8) за производством и оборотом отдельных видов нефтепродуктов;

9) в области использования атомной энергии – для субъектов, осуществляющих деятельность потенциальной радиационной опасности;

10) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
11) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

12) в области обязательного страхования гражданско-правовой ответственности владельцев транспортных средств и перевозчика перед пассажирами на пунктах пропуска через Государственную границу Республики Казахстан;

13) в сфере транспорта;

14) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
15) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

16) в сфере контроля специфических товаров;

17) в области технического регулирования;

18) за соблюдением законодательства Республики Казахстан об аккредитации в области оценки соответствия;

19) в области метрологии;

20) в сфере управления жилищным фондом;

21) в области племенного животноводства и пчеловодства;

22) в области охраны, воспроизводства и использования животного мира;

23) в области семеноводства;

24) в области регулирования рынка зерна;

25) в области охраны, защиты, пользования лесным фондом, воспроизводства лесов и лесоразведения;

26) в области использования и охраны водного фонда Республики Казахстан, безопасности плотин;

27) исключен Законом РК от 28.10.2019 № 268-VI (вводится в действие с 06.01.2020);

28) в области особо охраняемых природных территорий;

29) исключить Законом РК от 05.01.2021 № 409-VI (вводится в действие с 01.01.2022).

30) за использованием и охраной земель;

31) за геодезической и картографической деятельностью;

32) в области охраны окружающей среды, воспроизводства и использования природных ресурсов;

33) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
34) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

35) в области гражданской обороны;

36) в области пожарной безопасности;

37) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

38) в сфере обращения лекарственных средств и медицинских изделий;

39) за качеством оказываемых специальных социальных услуг;

39-1) в сфере оказания медицинских услуг (помощи);

40) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

41) в сфере санитарно-эпидемиологического благополучия населения;

42) за системой образования;

43) за соблюдением законодательства Республики Казахстан о Национальном архивном фонде и архивах;

44) за соблюдением трудового законодательства Республики Казахстан и законодательства Республики Казахстан в области занятости населения;

45) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
46) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

47) в области социальной защиты лиц с инвалидностью;

48) в сфере предоставления специальных социальных услуг;

49) за соблюдением законодательства Республики Казахстан о средствах массовой информации;

50) за соблюдением законодательства Республики Казахстан о телерадиовещании;

51) в области связи;

52) в сфере информатизации;

53) за соблюдением законодательства Республики Казахстан об электронном документе и электронной цифровой подписи;

Примечание РЦПИ!

Порядок введения в действие подпункта 54) см. пункт 11 статьи 324 Кодекса РК от 29.10.2015 № 375-V.

54) за поступлением налогов и других обязательных платежей в бюджет, а также полнотой и своевременным перечислением обязательных пенсионных взносов, обязательных профессиональных пенсионных взносов в единый накопительный пенсионный фонд и социальных отчислений в Государственный фонд социального страхования, отчислений и взносов на обязательное социальное медицинское страхование в Фонд социального медицинского страхования;

55) за поступлением неналоговых платежей в пределах компетенции, установленной законами Республики Казахстан;

56) при применении трансфертных цен;

57) за соблюдением законодательства Республики Казахстан о противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма;

58) за осуществлением валютных операций и деятельностью, связанной с использованием валютных ценностей;

59) за финансовым рынком и финансовыми организациями и в области финансового законодательства Республики Казахстан;

60) исключен Законом РК от 02.07.2018 № 168-VІ (вводится в действие по истечении десяти календарных дней со дня его первого официального опубликования);
60-1) исключен Законом РК от 02.07.2018 № 168-VІ (вводится в действие по истечении десяти календарных дней со дня его первого официального опубликования);

61) за соблюдением законодательства Республики Казахстан о платежах и платежных системах и валютного законодательства Республики Казахстан;

62) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

63) в области защиты конкуренции;

64) за использованием товарного знака, знака обслуживания, наименования места происхождения товара или фирменного наименования;

65) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

66) в области оценочной деятельности;

67) в сферах естественных монополий;

68) действовал до 01.01.2017 в соответствии с Кодексом РК от 29.10.2015 № 375-V.

68-1) за соблюдением порядка ценообразования и обязанностей субъекта общественно значимого рынка, установленных настоящим Кодексом;

Примечание ИЗПИ!
Подпункт 69) предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

69) за соблюдением законодательства Республики Казахстан о государственных закупках, закупках отдельных субъектов квазигосударственного сектора;

70) за обеспечением безопасности дорожного движения;

71) за деятельностью физических и юридических лиц, занятых в сфере оборота гражданского и служебного оружия и патронов к нему, гражданских пиротехнических веществ и изделий с их применением;

72) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
73) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

74) за охранной деятельностью;

75) за деятельностью по монтажу, наладке и техническому обслуживанию средств охранной сигнализации;

76) за состоянием антитеррористической защищенности объектов, уязвимых в террористическом отношении;

77) за деятельностью специализированных учебных центров по подготовке и повышению квалификации работников, занимающих должности руководителя и охранника в частной охранной организации;

78) за оборотом наркотических средств, психотропных веществ и прекурсоров;

79) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

80) за соблюдением законодательства Республики Казахстан о туристской деятельности;

81) в области аудиторской деятельности и деятельности профессиональных аудиторских организаций;

82) за соблюдением законодательства Республики Казахстан об игорном бизнесе;

83) за соблюдением законодательства Республики Казахстан о товарных биржах;

84) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
85) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
Примечание ИЗПИ!
Подпункт 86) предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

86) за проведением антидопинговых мероприятий в спорте;

87) в области бухгалтерского учета и финансовой отчетности;

88) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

89) в сфере охраны и использования объектов историко-культурного наследия;

90) в области оборота биотоплива;

91) в области производства биотоплива;

92) за соблюдением законодательства Республики Казахстан о регулировании торговой деятельности;

92-1) за соблюдением законодательства Республики Казахстан о защите прав потребителей;

93) в области космической деятельности;

94) исключен Законом РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

95) за соблюдением законодательства Республики Казахстан о рекламе;

96) в области архитектуры, градостроительства и строительства;

97) в области ветеринарии;

98) в области защиты и карантина растений;

98-1) в области охраны, защиты, восстановления и использования дикорастущих растений;

99) за соблюдением законодательства Республики Казахстан о магистральном трубопроводе;

100) в сфере автомобильных дорог;

101) в области защиты прав ребенка;

102) в области производства и оборота этилового спирта и алкогольной продукции;

103) в области производства и оборота табачных изделий;

104) в области разрешительного контроля;

105) в области оборота ядов, вооружения, военной техники и отдельных видов оружия, взрывчатых и пиротехнических веществ и изделий с их применением;

106) в области промышленности;

Примечание ИЗПИ!
Подпункт 107) предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

107) за соблюдением правил воинского учета военнообязанных и призывников организациями, военнообязанными и призывниками;

108) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

109) в области поддержки и защиты субъектов предпринимательства;

110) в области государственной статистики;

Примечание РЦПИ!
Подпункт 111) вводится в действие после введения в действие законодательного акта о производстве органической продукции в соответствии с Кодексом РК от 29.10.2015 № 375-V.

111) в области производства органической продукции;

112) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

113) в сфере реализации ювелирных и других изделий из драгоценных металлов и драгоценных камней;

114) за соблюдением законодательства Республики Казахстан о лотереях и лотерейной деятельности;

115) в области производства и оборота в отношении товаров, подлежащих маркировке и прослеживаемости;

Примечание ИЗПИ!
Подпункт 116) предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

116) за соблюдением законодательства Республики Казахстан о реабилитации и банкротстве.

117) в сфере цифровых активов.

118) за соблюдением законодательства Республики Казахстан об онлайн-платформах и онлайн-рекламе.

119) за соблюдением законодательства Республики Казахстан о персональных данных и их защите.

Сноска. Статья 138 с изменениями, внесенными законами РК от 09.04.2016 № 496-V (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 14.01.2016 № 445-V (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 26.07.2016 № 12-VІ (вводится в действие по истечении тридцати календарных дней после дня его первого официального опубликования); от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 06.05.2017 № 63-VI (вводится в действие по истечении двадцати одного календарного дня после дня его первого официального опубликования); от 27.12.2017 № 126-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.07.2018 № 168-VІ (вводится в действие по истечении десяти календарных дней со дня его первого официального опубликования); от 26.12.2018 № 202-VI (вводится в действие с 01.01.2020); от 28.12.2018 № 211-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.04.2019 № 241-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 28.10.2019 № 268-VI (вводится в действие с 06.01.2020); от 26.12.2019 № 289-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 27.12.2019 № 290-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 13.05.2020 № 325-VІ (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 25.06.2020 № 346-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 07.07.2020 № 361-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 05.01.2021 № 409-VI (вводится в действие с 01.01.2022); от 08.06.2021 № 48-VII (вводится в действие с 01.01.2022); от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023); от 27.06.2022 № 129-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 28.12.2022 № 173-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования); от 02.01.2023 № 184-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования); от 06.02.2023 № 194-VII (вводится в действие с 01.04.2023); от 20.04.2023 № 226-VII (вводится в действие с 01.07.2023); от 10.07.2023 № 19-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования); от 11.12.2023 № 44-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 139. Сферы деятельности субъектов предпринимательства, в которых осуществляется надзор

Надзор осуществляется:

1) в области использования воздушного пространства Республики Казахстан;

2) за деятельностью гражданской авиации;

3) за международными воздушными перевозками;

4) за обеспечением авиационной безопасности;

5) в области торгового мореплавания;

6) в области внутреннего водного транспорта;

7) в области архитектуры, градостроительства и строительства;

8) в области ветеринарии;

9) в области карантина растений;

10) в сфере санитарно-эпидемиологического благополучия населения;

10-1) в области технического регулирования в части выпуска в обращение продукции на ее соответствие требованиям технических регламентов;

11) за финансовым рынком и финансовыми организациями и в области финансового законодательства Республики Казахстан;

12) исключен Законом РК от 02.07.2018 № 168-VІ (вводится в действие по истечении десяти календарных дней со дня его первого официального опубликования);
13) исключен Законом РК от 02.07.2018 № 168-VІ (вводится в действие по истечении десяти календарных дней со дня его первого официального опубликования);

14) за деятельностью инвестиционных фондов;

15) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
16) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
17) исключен Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

18) в области промышленной безопасности;

19) в области использования атомной энергии;

20) в области охраны, воспроизводства и использования животного мира;

21) в области охраны, защиты, пользования лесным фондом, воспроизводства лесов и лесоразведения;

22) в области особо охраняемых природных территорий.

23) в области пожарной безопасности.

Сноска. Статья 139 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.07.2018 № 168-VІ (вводится в действие по истечении десяти календарных дней со дня его первого официального опубликования); от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.12.2020 № 397-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Параграф 2. Порядок организации и проведения контроля субъекта (объекта) контроля и надзора

Сноска. Заголовок параграфа 2 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 140. Общие вопросы проверки и профилактического контроля и надзора с посещением субъекта (объекта) контроля и надзора

Сноска. Статья 140 исключена Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 141. Система оценки и управления рисками

1. Риском является вероятность причинения вреда в результате деятельности субъекта контроля и надзора жизни или здоровью человека, окружающей среде, законным интересам физических и юридических лиц, имущественным интересам государства с учетом степени тяжести его последствий.

Под оценкой рисков понимается деятельность органов контроля и надзора по измерению вероятности причинения вреда.

2. Под системой оценки и управления рисками для целей контроля и надзора понимается процесс принятия управленческих решений, направленных на снижение вероятности наступления неблагоприятных факторов, указанных в части первой пункта 1 настоящей статьи, путем распределения субъектов (объектов) контроля и надзора по степеням риска для последующего осуществления профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверок на соответствие требованиям с целью минимально возможной степени ограничения свободы предпринимательства, обеспечивая при этом допустимый уровень риска в соответствующих сферах деятельности, а также направленных на изменение уровня риска для конкретного субъекта (объекта) контроля и надзора и (или) освобождения такого субъекта (объекта) контроля и надзора от профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверок на соответствие требованиям.

Критерием оценки степени риска является совокупность количественных и качественных показателей, связанных с непосредственной деятельностью субъекта контроля и надзора, особенностями отраслевого развития и факторами, влияющими на это развитие, позволяющих отнести субъекты (объекты) контроля и надзора к различным степеням риска.

3. Орган контроля и надзора для целей управления рисками при осуществлении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки относит субъекты (объекты) контроля и надзора к одной из следующих степеней риска (далее – степени риска):

1) высокий риск;

2) средний риск;

3) низкий риск.

4. Для сфер деятельности субъектов (объектов) контроля и надзора, отнесенных к высокой степени риска, кратность проведения проверок на соответствие требованиям определяется критериями оценки степени риска, но не чаще одного раза в год.

Кратность проведения проверок на соответствие требованиям в отношении субъектов (объектов) контроля и надзора высокой эпидемической значимости в сфере санитарно-эпидемиологического благополучия населения определяется не чаще одного раза в полгода.

Для сфер деятельности субъектов (объектов) контроля и надзора, отнесенных к средней степени риска, кратность проведения проверок на соответствие требованиям определяется критериями оценки степени риска, но не чаще одного раза в два года.

Для сфер деятельности субъектов (объектов) контроля и надзора, отнесенных к низкой степени риска, кратность проведения проверок на соответствие требованиям определяется критериями оценки степени риска, но не чаще одного раза в три года.

Для сфер деятельности субъектов (объектов) контроля и надзора, отнесенных к высокой или средней степени риска, проводятся проверка на соответствие требованиям, профилактический контроль с посещением субъекта (объекта) контроля и надзора, профилактический контроль без посещения субъекта (объекта) контроля и надзора и внеплановая проверка.

Для сфер деятельности субъектов (объектов) контроля и надзора, отнесенных к низкой степени риска, проводятся проверка на соответствие требованиям, профилактический контроль без посещения субъекта (объекта) контроля и надзора и внеплановая проверка.

5. Критерии оценки степени риска и проверочные листы, применяемые для проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и проверок на соответствие требованиям, утверждаются совместным актом регулирующих государственных органов, уполномоченного органа по предпринимательству и размещаются на интернет-ресурсах регулирующих государственных органов.

Примечание ИЗПИ!
В пункт 6 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6. Критерии оценки степени риска для отбора субъектов (объектов) контроля и надзора, проверочные листы разрабатываются на основании правил формирования регулирующими государственными органами системы оценки и управления рисками.

7. Система оценки и управления рисками регулирующими государственными органами ведется с использованием информационных систем оценки и управления рисками, относящих субъекты (объекты) контроля и надзора к конкретным степеням риска и формирующих в автоматическом режиме графики или списки проведения контрольных мероприятий, а также основывается на государственной статистике, итогах ведомственного статистического наблюдения, а также информационных инструментах.

При отсутствии информационной системы оценки и управления рисками в автоматическом режиме минимально допустимый порог количества субъектов (объектов) контроля и надзора, в отношении которых осуществляются профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверка, не должен превышать пять процентов от общего количества таких субъектов (объектов) контроля и надзора в определенной сфере контроля и надзора.

Примечание ИЗПИ!
В часть третью пункта 7 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Формирование системы оценки и управления рисками органов контроля и надзора с использованием информационных систем в автоматическом режиме осуществляется в соответствии с правилами формирования регулирующими государственными органами системы оценки и управления рисками с учетом специфики и конфиденциальности критериев оценки степени риска.

8. Критерии оценки степени риска являются основанием для определения степени нарушения требований, установленных в проверочных листах в соответствии с пунктом 2 статьи 132 и пунктом 3 статьи 143 настоящего Кодекса и являющихся предметом профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки на соответствие требованиям.

Нарушения требований в зависимости от тяжести подразделяются на грубые, значительные и незначительные.

Примечание ИЗПИ!
В часть третью пункта 8 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Отнесение нарушений требований, установленных в проверочных листах в соответствии с пунктом 2 статьи 132 и пунктом 3 статьи 143 настоящего Кодекса, к грубым, значительным или незначительным нарушениям осуществляется в соответствии с правилами формирования регулирующими государственными органами системы оценки и управления рисками.

9. Субъекты (объекты) контроля и надзора переводятся с применением информационной системы с высокой степени риска в среднюю степень риска или со средней степени риска в низкую степень риска в соответствующих сферах деятельности субъектов контроля и надзора в случаях:

1) если такие субъекты заключили договоры страхования гражданско-правовой ответственности перед третьими лицами в случаях и порядке, которые установлены законами Республики Казахстан;

2) если в законах Республики Казахстан и критериях оценки степени риска регулирующих государственных органов определены случаи освобождения от профилактического контроля с посещением субъекта (объекта) контроля и надзора или проведения проверок;

3) если субъекты являются членами саморегулируемой организации, основанной на добровольном членстве (участии) в соответствии с Законом Республики Казахстан "О саморегулировании", с которой заключено соглашение о признании результатов деятельности саморегулируемой организации.

10. Регулирующие государственные органы при осуществлении контроля и надзора за членом (участником) саморегулируемой организации, основанной на добровольном членстве (участии), учитывают факт наличия такого членства (участия) в критериях оценки степени риска как смягчающий индикатор с учетом заключенного соглашения о признании результатов деятельности саморегулируемой организации в порядке, определяемом уполномоченным органом по предпринимательству.

Положения части первой настоящего пункта, а также подпункта 3) пункта 9 настоящей статьи не распространяются на сферы национальной безопасности Республики Казахстан, обороны, обеспечения общественного порядка.

11. Определение форм контроля субъектов (объектов) контроля и надзора осуществляется регулирующими государственными органами для каждой сферы деятельности, в которой осуществляется контроль.

Сноска. Статья 141 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 142. Ведомственный учет

Сноска. Статья 142 исключена Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 143. Проверочные листы

1. Регулирующий государственный орган и уполномоченный орган по предпринимательству для однородных групп субъектов (объектов) контроля и надзора утверждают совместным актом проверочные листы.

Утвержденные проверочные листы размещаются на интернет-ресурсах регулирующих государственных органов.

2. Проверочный лист включает в себя перечень обязательных требований, предъявляемых к деятельности субъектов (объектов) контроля и надзора, несоблюдение которых влечет за собой угрозу жизни и здоровью человека, окружающей среде, законным интересам физических и юридических лиц, государства.

Проверочный лист составляется в разбивке для однородных групп субъектов (объектов) контроля и надзора.

Под однородными группами понимаются субъекты (объекты) контроля и надзора, к которым предъявляются одни и те же требования.

3. Проверке и профилактическому контролю с посещением субъекта (объекта) контроля и надзора подлежат только требования, установленные в проверочных листах.

Требования, включаемые в проверочный лист, должны соответствовать одновременно всем следующим критериям:

1) быть связанными с деятельностью (процессом, действием), которая непосредственно (напрямую) влияет на жизнь, здоровье людей, защиту их имущества, безопасность для окружающей среды, национальную безопасность Республики Казахстан, включая экономическую безопасность, защиту конституционных прав, свобод и законных интересов физических и юридических лиц, государства;

2) соблюдение требований возможно проверить путем визуализации, лабораторного исследования, осмотра и досмотра, проверки наличия подтверждающих документов;

3) требования не могут носить общий характер и содержать отсылку на другие нормативные правовые акты;

4) недопущение дублирования требования несколькими регулирующими государственными органами.

Сноска. Статья 143 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 144. Порядок организации проверок

Примечание ИЗПИ!
В часть первую пункта 1 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1. Проверки на соответствие требованиям осуществляются с применением критериев оценки рисков с кратностью, установленной пунктом 4 статьи 141 настоящего Кодекса.

Квалификационные или разрешительные требования, а также требования в рамках уведомительного порядка устанавливаются законодательством Республики Казахстан.

2. Основанием для назначения проверки на соответствие требованиям является график, сформированный информационной системой оценки и управления рисками в автоматическом режиме.

Примечание ИЗПИ!
Часть вторую пункта 2 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

При отсутствии автоматизированной информационной системы оценки и управления рисками график утверждается регулирующим государственным органом.

График формируется в информационной системе оценки и управления рисками в автоматическом режиме на ежегодной основе в отношении субъектов (объектов) контроля и надзора с обязательным указанием субъектов (объектов) контроля и надзора, в отношении которых назначена проверка на соответствие требованиям.

При составлении органом контроля и надзора графика проверок на соответствие требованиям и полугодовых списков профилактического контроля с посещением субъекта (объекта) контроля и надзора в отношении одних и тех же субъектов (объектов) контроля и надзора устанавливаются единые сроки периода их проведения.

График проведения проверок на соответствие требованиям в срок до 10 декабря года, предшествующего году проведения проверок, направляется для опубликования на объекте информационно-коммуникационной инфраструктуры "электронного правительства".

График проведения проверок в сфере санитарно-эпидемиологического благополучия населения опубликовывается на объекте информационно-коммуникационной инфраструктуры "электронного правительства" в срок до 10 декабря года, предшествующего году проведения проверок, и до 10 мая текущего календарного года.

При отсутствии автоматизированной информационной системы оценки и управления рисками график утверждается первым руководителем регулирующего государственного органа или местного исполнительного органа.

3. Орган контроля и надзора обязан уведомить в письменном виде субъект контроля и надзора (руководителя юридического лица либо его уполномоченное лицо, физическое лицо) о начале проведения проверки на соответствие требованиям не менее чем за тридцать календарных дней до начала проверки с указанием даты ее начала.

В случае, когда субъект контроля и надзора получил уведомление о начале проведения проверки, но на момент проверки прошел государственную перерегистрацию в соответствии с пунктом 6 статьи 42 Гражданского кодекса Республики Казахстан, повторное уведомление о начале проведения проверки не требуется.

Положения настоящего пункта не распространяются на проверки субъектов контроля и надзора, осуществляющих обращение с патогенными биологическими агентами I и (или) II групп патогенности.

4. Внеплановой проверкой является проверка, назначаемая органом контроля и надзора по конкретным фактам и обстоятельствам, послужившим основанием для назначения внеплановой проверки в отношении конкретного субъекта (объекта) контроля и надзора, с целью предупреждения и (или) устранения непосредственной угрозы жизни и здоровью человека, окружающей среде, законным интересам физических и юридических лиц, государства.

При проведении внеплановой проверки, за исключением случаев, предусмотренных подпунктами 3), 4), 7) и 8) пункта 5, пунктами 8, 9 и 10 настоящей статьи, орган контроля и надзора обязан известить субъект контроля и надзора о начале проведения внеплановой проверки субъекта (объекта) контроля и надзора не менее чем за сутки до ее начала с указанием предмета проведения проверки субъекта (объекта) контроля и надзора.

5. Основаниями внеплановой проверки субъектов (объектов) контроля и надзора являются:

Примечание ИЗПИ!
Подпункт 1) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1) контроль исполнения предписаний об устранении выявленных грубых нарушений, определенных в критериях оценки степени риска, в результате проверки на соответствие требованиям и профилактического контроля с посещением субъекта (объекта) контроля и надзора;

Примечание ИЗПИ!
В подпункт 2) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2) контроль исполнения предписаний об устранении выявленных значительных и незначительных нарушений, определенных в критериях оценки степени риска, в результате проверки на соответствие требованиям и профилактического контроля с посещением субъекта (объекта) контроля и надзора в случаях, если субъект контроля и надзора более одного раза не предоставил информацию об устранении выявленных нарушений и (или) не устранил нарушения;

Примечание ИЗПИ!
Пункт 5 предусмотрено дополнить подпунктом 2-1) в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3) обращения физических и юридических лиц по нарушениям требований законодательства Республики Казахстан при наличии убедительных оснований и подтверждающих доказательств;

Примечание ИЗПИ!
В подпункт 4) предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4) поручения органов прокуратуры по конкретным фактам причинения либо об угрозе причинения вреда жизни, здоровью человека, окружающей среде и законным интересам физических и юридических лиц, государства;

Примечание ИЗПИ!
В подпункт 5) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5) обращения государственных органов по конкретным фактам причинения вреда жизни, здоровью человека, окружающей среде и законным интересам физических и юридических лиц, государства, а также нарушений требований законодательства Республики Казахстан, неустранение которых влечет причинение вреда жизни и здоровью человека;

6) повторная проверка, связанная с обращением субъекта контроля и надзора о несогласии с первоначальной проверкой (неправомерность применения мер оперативного реагирования);

7) поручение органа уголовного преследования по основаниям, предусмотренным Уголовно-процессуальным кодексом Республики Казахстан;

8) обращения налогоплательщика, сведения и вопросы, определенные Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс).

Примечание ИЗПИ!
Пункт 5 предусмотрено дополнить частью второй в соответствии с Законом РК от 19.04.2024 № 74-VIII (вводится в действие по истечении шести месяцев после дня его первого официального опубликования).

6. Внеплановые проверки не проводятся в случаях анонимных обращений.

7. Внеплановой проверке подлежат факты и обстоятельства, выявленные в отношении конкретных субъектов (объектов) контроля и надзора и послужившие основанием для назначения данной внеплановой проверки.

8. В случае угрозы возникновения распространения эпидемии, очагов карантинных объектов и особо опасных вредных организмов, инфекционных, паразитарных заболеваний, отравлений, радиационных аварий проводится внеплановая проверка объектов без предварительного уведомления субъекта контроля и надзора и регистрации акта о назначении проверки с последующим его представлением в течение следующего рабочего дня в уполномоченный орган по правовой статистике и специальным учетам.

Примечание ИЗПИ!
Статью 144 предусмотрено дополнить пунктом 8-1 в соответствии с Законом РК от 15.04.2024 № 72-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

9. В случае выявления оснований для проведения внеплановой проверки на объектах или у субъектов контроля и надзора, находящихся на значительном отдалении от места расположения органов контроля и надзора, а также уполномоченного органа по правовой статистике и специальным учетам, внеплановая проверка осуществляется без предварительного уведомления субъекта контроля и надзора и регистрации акта о назначении проверки с последующим его представлением в течение следующих пяти рабочих дней в уполномоченный орган по правовой статистике и специальным учетам.

Значительным отдалением от места расположения контролирующих и регистрирующих органов считается расстояние, превышающее сто километров от места регистрации акта о назначении внеплановой проверки до места ее проведения.

10. Внеплановые проверки по вопросам производства (формуляции), транспортировки, хранения, реализации и применения фальсифицированных пестицидов, а также производства, закупки, транспортировки, хранения, реализации фальсифицированных лекарственных средств и медицинских изделий, а также обращения с патогенными биологическими агентами I–II групп патогенности проводятся без предварительного уведомления субъекта контроля и надзора.

11. Перечисленные в пункте 5 настоящей статьи основания для проведения внеплановой проверки применяются также в отношении структурных подразделений государственных органов, структурных подразделений юридических лиц-нерезидентов, юридических лиц-нерезидентов, осуществляющих деятельность без регистрации в органах юстиции или регистрирующем органе.

12. Решение о приостановлении действия государственного контроля и надзора в отношении субъектов частного предпринимательства на определенный срок принимается Правительством Республики Казахстан.

13. Запрещается проведение иных видов проверок, не установленных настоящим Кодексом, за исключением проверок, предусмотренных Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс).

Сноска. Статья 144 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023); с изменениями, внесенными Законом РК от 06.04.2024 № 71-VIII (вводятся в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 144-1. Профилактический контроль без посещения субъекта (объекта) контроля и надзора

1. Профилактический контроль без посещения субъекта (объекта) контроля и надзора осуществляется органами контроля и надзора на основе изучения и анализа представленной субъектом контроля и надзора отчетности, сведений уполномоченных государственных органов, а также полученных из государственных информационных систем и электронных информационных ресурсов, и других документов и сведений о деятельности субъекта (объекта) контроля и надзора.

2. Для проведения профилактического контроля без посещения субъекта (объекта) контроля и надзора в законах Республики Казахстан определяется порядок проведения профилактического контроля без посещения субъекта (объекта) контроля и надзора с обязательным указанием целей, инструментов, способов проведения, перечня субъектов (объектов), кратности проведения, способа учета наблюдения субъекта (объекта) контроля и надзора.

3. Профилактический контроль без посещения субъекта (объекта) контроля и надзора осуществляется в соответствии с настоящим Кодексом и иными законами Республики Казахстан с соблюдением всех следующих условий:

1) органам контроля и надзора запрещается посещать субъекты (объекты) контроля и надзора;

2) не требуются регистрация в уполномоченном органе в области правовой статистики и специальных учетов и предварительное уведомление субъекта контроля и надзора;

3) по итогам профилактического контроля без посещения субъекта (объекта) контроля и надзора составляются итоговые документы (справка, заключение, рекомендации и другие) без возбуждения дела об административном правонарушении в случае наличия нарушения, но с обязательным разъяснением субъекту контроля и надзора порядка его устранения.

4. Результаты анализа профилактического контроля без посещения субъекта (объекта) контроля и надзора являются основанием для отбора субъектов (объектов) контроля и надзора для проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора.

Примечание ИЗПИ!
Пункт 4 предусмотрено дополнить частью второй в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).
Сноска. Глава 13 дополнена статьей 144-1 в соответствии с Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 144-2. Профилактический контроль с посещением субъекта (объекта) контроля и надзора

1. Профилактический контроль с посещением субъекта (объекта) контроля и надзора представляет собой контроль, который органы контроля и надзора проводят с посещением субъекта (объекта) контроля и надзора и по результатам которого в случае выявления нарушений субъектам контроля и надзора выносится предписание об их устранении без возбуждения административного производства, а также в случаях, предусмотренных законами Республики Казахстан, применяются меры оперативного реагирования.

Профилактический контроль с посещением субъекта (объекта) контроля и надзора в отношении конкретного субъекта (объекта) контроля и надзора проводится при условии, что в предшествующем данному контролю году проводился в отношении данного субъекта (объекта) контроля и надзора профилактический контроль без посещения субъекта (объекта) контроля и надзора в соответствии с пунктом 5 статьи 131 и статьей 144-1 настоящего Кодекса.

При наличии у органа контроля и надзора информационной системы, содержащей автоматизированную систему оценки и управления рисками, полугодовые списки проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора в обязательном порядке размещаются на объекте информационно-коммуникационной инфраструктуры "электронного правительства".

2. Кратность профилактического контроля с посещением субъекта (объекта) контроля и надзора определяется органами контроля и надзора в отношении субъектов (объектов) контроля и надзора, отнесенных к высокой и средней степеням риска, не чаще двух раз в год.

3. Для проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора регулирующие государственные органы разрабатывают и совместно с уполномоченным органом по предпринимательству утверждают акты, касающиеся критериев оценки степени риска для отбора субъектов (объектов) контроля и надзора, проверочных листов, которые размещаются на объекте информационно-коммуникационной инфраструктуры "электронного правительства.

4. Основанием для назначения профилактического контроля с посещением субъекта (объекта) контроля и надзора является полугодовой список субъектов (объектов) контроля и надзора, утвержденный первым руководителем регулирующего государственного органа или местного исполнительного органа, за исключением случая формирования графиков и полугодовых списков в информационных системах оценки и управления рисками в автоматическом режиме.

Полугодовые списки проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора формируются в отношении субъектов контроля и надзора с обязательным указанием объектов, в отношении которых назначен профилактический контроль с посещением субъекта (объекта) контроля и надзора.

В срок до 10 декабря года, предшествующего году проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора, и до 10 мая текущего календарного года органы контроля и надзора направляют утвержденные полугодовые списки проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора, в том числе в электронной форме, в уполномоченный орган в области правовой статистики и специальных учетов для формирования полугодового сводного списка проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора, за исключением случая формирования графиков и полугодовых списков в информационных системах оценки и управления рисками в автоматическом режиме.

Форма полугодовых списков проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора определяется Генеральной прокуратурой Республики Казахстан.

Внесение изменений в полугодовые списки проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора осуществляется в порядке, определяемом Генеральной прокуратурой Республики Казахстан.

Уполномоченный орган в области правовой статистики и специальных учетов размещает полугодовой сводный список проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора на интернет-ресурсе Генеральной прокуратуры Республики Казахстан в срок до 25 декабря года, предшествующего году проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора, и до 25 мая текущего календарного года.

На основании полугодового списка проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора орган контроля и надзора обязан уведомить в письменном виде субъект контроля и надзора (руководителя юридического лица либо его уполномоченное лицо, физическое лицо) о начале проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора не менее чем за тридцать календарных дней до его начала с указанием даты.

Уведомление о начале проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора вручается нарочно, направляется в форме заказного почтового отправления с уведомлением о вручении либо посредством электронного документа, подписанного посредством электронной цифровой подписи, по адресу электронной почты субъекта контроля и надзора, если такой адрес ранее был представлен данным субъектом в орган контроля и надзора, или иным доступным способом.

В случае, если субъект контроля и надзора, получивший уведомление о начале проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора, на момент профилактического контроля с посещением субъекта (объекта) контроля и надзора прошел государственную перерегистрацию в соответствии с пунктом 6 статьи 42 Гражданского кодекса Республики Казахстан, повторное уведомление о начале проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора не требуется.

Положения частей седьмой, восьмой и девятой настоящего пункта не распространяются на профилактический контроль с посещением субъектов контроля и надзора, осуществляющих обращение с патогенными биологическими агентами I и (или) II групп патогенности.

5. По итогам проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора в случае выявления нарушений орган контроля и надзора выдает предписание субъекту (объекту) контроля и надзора об их устранении с указанием сроков устранения.

Примечание ИЗПИ!
В часть вторую пункта 5 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

По итогам профилактического контроля с посещением субъекта (объекта) контроля и надзора могут быть применены меры оперативного реагирования без привлечения к административной ответственности в соответствии со статьей 136 настоящего Кодекса.

Примечание ИЗПИ!
В пункт 6 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие с 31.12.2025).
Примечание ИЗПИ!
В пункт 6 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6. Положения настоящей статьи не распространяются при осуществлении профилактического контроля с посещением субъекта (объекта) контроля и надзора за соблюдением размера предельно допустимых розничных цен на социально значимые продовольственные товары.

Сноска. Глава 13 дополнена статьей 144-2 в соответствии с Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023); с изменениями, внесенными Законом РК от 06.04.2024 № 71-VIII (вводятся в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 144-3. Контрольный закуп

1. Под контрольным закупом понимается осуществление органом контроля и надзора покупки в рамках контроля продукции в форме товара.

Контрольный закуп является самостоятельным видом профилактического контроля, порядок осуществления которого определяется законодательством Республики Казахстан и настоящей статьей.

Примечание ИЗПИ!
Пункт 1 предусмотрено дополнить частью третьей в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).
Примечание ИЗПИ!
В пункт 2 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2. Контрольный закуп осуществляется в целях выявления факта реализации продукции, не соответствующей требованиям, установленным нормативными правовыми актами и (или) нормативными техническими документами.

3. Контрольный закуп подтверждается платежным документом, содержащим информацию о перечне закупленной продукции и наименовании субъекта (объекта) контроля и надзора.

Примечание ИЗПИ!
В пункт 4 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4. По итогам контрольного закупа органами контроля и надзора осуществляется исследование закупленной продукции на соответствие требованиям, установленным нормативными правовыми актами и (или) нормативными техническими документами, с возможностью последующего применения мер запретительно-ограничительного характера в соответствии с частью второй статьи 153 настоящего Кодекса.

Примечание ИЗПИ!
Статью 144-3 предусмотрено дополнить пунктом 4-1 в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5. Контрольный закуп проводится в тех сферах деятельности, где законами Республики Казахстан прямо предусмотрено проведение такого вида профилактического контроля.

Примечание ИЗПИ!
Пункт 5 предусмотрено дополнить частью второй в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6. Расходы, связанные с осуществлением контрольного закупа и исследованием закупленной продукции, осуществляются за счет бюджетных средств.

Сноска. Глава 13 дополнена статьей 144-3 в соответствии с Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 144-4. Расследование

Примечание ИЗПИ!
Пункт 1 предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1. Расследование является самостоятельной формой контроля, осуществление которого определено настоящей статьей.

2. Целями расследования являются:

1) установление причин нарушения требований законодательства Республики Казахстан и принятие соответствующих мер;

2) определение субъектов (объектов) контроля и надзора, допустивших нарушения требований законодательства Республики Казахстан.

3. Основаниями для проведения расследования являются:

1) обращения физических и (или) юридических лиц, а также государственных органов по конкретным фактам причинения вреда жизни, здоровью человека, окружающей среде и законным интересам физических и юридических лиц, государства в случаях, когда такой факт коснулся широкого круга лиц и требуется установить конкретный субъект (объект) контроля и надзора, допустивший нарушения;

2) информация (экстренное извещение) о наступлении смерти в соответствии с Кодексом Республики Казахстан "О здоровье народа и системе здравоохранения";

3) информация (экстренное извещение), подаваемая государственными органами или субъектами деятельности, о возникновении и распространении эпидемии, фальсифицированных и незарегистрированных пестицидов, ветеринарных препаратов, кормовых добавок, очагов карантинных объектов и особо опасных вредных организмов, инфекционных, паразитарных заболеваний, отравлений, радиационных аварий;

4) случаи повреждения здоровья работников, связанные с их трудовой деятельностью и приведшие к нетрудоспособности либо смерти;

5) аварии, технологические нарушения или инциденты, по которым возникает необходимость выяснения обстоятельств, предшествовавших им, установление их причин, характера нарушений условий эксплуатации технических устройств, технологических процессов, нарушений требований промышленной безопасности, в области электроэнергетики, определение мероприятий по ликвидации последствий и предотвращению подобных аварий, технологических нарушений или инцидентов, материального ущерба, причиненного аварией, технологическим нарушением или инцидентом;

Примечание ИЗПИ!
В подпункт 6) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6) результаты исследования продукции по итогам контрольного закупа в случае выявления нарушения требований, установленных нормативными правовыми актами и (или) нормативными техническими документами, представляющего опасность для жизни, здоровья человека и среды обитания.

4. При наличии оснований, указанных в пункте 3 настоящей статьи, органом контроля и надзора принимается решение о проведении расследования.

5. Порядок проведения расследования устанавливается законодательством Республики Казахстан.

Порядок проведения расследования должен включать в себя:

1) случаи, при которых проводится расследование;

Примечание ИЗПИ!
Часть вторую пункта 5 предусмотрено дополнить подпунктом 1-1) в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2) сроки и продолжительность проведения расследования;

3) сроки уведомления субъекта контроля и надзора, уполномоченного органа в области правовой статистики и специальных учетов, заинтересованных государственных органов о начале проведения расследования;

4) порядок привлечения независимых экспертов и иных заинтересованных лиц;

5) условия и порядок образования состава комиссии по расследованию;

6) порядок оформления материалов расследования.

6. Сроки проведения расследования не должны превышать тридцать календарных дней и могут быть продлены только один раз на тридцать календарных дней.

7. По итогам проведения расследования органами контроля и надзора определяется субъект (субъекты) контроля и надзора, допустивший (допустившие) нарушение требований законодательства Республики Казахстан, ставшее основанием для проведения расследования.

По итогам проведения расследования в отношении субъекта контроля и надзора, допустившего нарушение, принимаются меры, предусмотренные законами Республики Казахстан.

Итоги проведения расследования публикуются на интернет-ресурсе органом контроля и надзора, за исключением сведений, составляющих государственные секреты либо иную охраняемую законами Республики Казахстан тайну.

Примечание ИЗПИ!
Пункт 7 предусмотрено дополнить частями четвертой и пятой в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

8. Расследование проводится в тех сферах деятельности, где законами Республики Казахстан прямо предусмотрено проведение такой формы контроля.

Сноска. Глава 13 дополнена статьей 144-4 в соответствии с Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 145. Акт о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки

1. Профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверка проводятся на основании акта органа контроля и надзора о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки.

2. В акте о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки указываются:

1) номер и дата акта;

2) наименование государственного органа;

3) фамилия, имя, отчество (если оно указано в документе, удостоверяющем личность) и должность лица (лиц), уполномоченного (уполномоченных) на проведение профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

4) сведения о специалистах, консультантах и экспертах, привлекаемых для проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

5) наименование субъекта контроля и надзора или фамилия, имя, отчество (если оно указано в документе, удостоверяющем личность) физического лица, в отношении которого назначено проведение профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, его место нахождения, идентификационный номер, перечень объектов контроля и надзора, участок территории;

6) предмет назначенного профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

7) срок проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

8) основания проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, в том числе нормативные правовые акты, обязательные требования которых подлежат профилактическому контролю с посещением субъекта (объекта) контроля и надзора и (или) проверке;

9) период проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

10) права и обязанности субъекта контроля и надзора, предусмотренные статьей 155 настоящего Кодекса;

11) подпись лица, уполномоченного подписывать акты, и печать государственного органа;

12) подпись руководителя юридического лица либо его уполномоченного лица, физического лица о получении или отказе в получении акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки.

Сноска. Статья 145 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 146. Регистрация акта о назначении, дополнительного акта о продлении сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки

1. Акт о назначении, дополнительный акт о продлении сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, за исключением встречных проверок, осуществляемых органами государственных доходов в соответствии с Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс), в обязательном порядке регистрируются в уполномоченном органе в области правовой статистики и специальных учетов.

Акт о назначении, дополнительный акт о продлении сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки регистрируются в отношении субъекта контроля и надзора с обязательным указанием субъектов (объектов) контроля и надзора.

Органы государственных доходов при проведении встречных проверок, предусмотренных Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс), уведомляют уполномоченный орган в области правовой статистики и специальных учетов по месту нахождения субъекта (объекта) контроля и надзора.

Регистрация акта о назначении, дополнительного акта о продлении сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки носит учетный характер и используется для формирования и совершенствования ведомственных систем оценки и управления рисками.

2. Акт о назначении, дополнительный акт о продлении сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки органом контроля и надзора регистрируются до начала профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки в уполномоченном органе в области правовой статистики и специальных учетов путем их представления, в том числе в электронной форме, территориальному органу уполномоченного органа в области правовой статистики и специальных учетов по месту нахождения субъекта (объекта) контроля и надзора.

Примечание ИЗПИ!
Часть вторая пункта 2 предусмотрена в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Акт о назначении внеплановой проверки по основаниям, предусмотренным подпунктами 3), 4), 7) и 8) пункта 5, пунктами 8, 9 и 10 статьи 144 настоящего Кодекса, регистрируется в уполномоченном органе в области правовой статистики и специальных учетов путем его представления, в том числе в электронной форме, территориальному органу уполномоченного органа в области правовой статистики и специальных учетов по месту нахождения субъекта (объекта) контроля в течение следующего рабочего дня после дня начала внеплановой проверки.

При регистрации акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки органом контроля и надзора предъявляются проверочные листы (при их наличии) с указанием пунктов требований, подлежащих профилактическому контролю с посещением субъекта (объекта) контроля и надзора и (или) проверке.

Порядок регистрации актов о назначении, дополнительных актов о продлении сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, отказа в их регистрации и отмены, уведомлений о приостановлении, возобновлении, продлении сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, изменении состава участников и представлении информационных учетных документов о профилактическом контроле с посещением субъекта (объекта) контроля и надзора и (или) проверке и их результатах определяется Генеральной прокуратурой Республики Казахстан.

3. В случае, когда необходимость профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки вызвана сложившейся социально-экономической ситуацией, требующей немедленного устранения угрозы общественному порядку, здоровью населения и национальным интересам Республики Казахстан, предусмотрена иными законами Республики Казахстан, а также при проведении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки во внеурочное время (ночное время, выходные или праздничные дни) в силу необходимости пресечения нарушений непосредственно в момент их совершения и проведения неотложных действий для закрепления доказательств регистрация актов о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки производится в уполномоченном органе в области правовой статистики и специальных учетов в течение следующего рабочего дня после начала профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки.

Сноска. Статья 146 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 147. Действия должностных лиц органов контроля и надзора при осуществлении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки

1. Должностные лица органа контроля и надзора, прибывшие на объект для профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, обязаны предъявить субъекту контроля и надзора:

1) акт о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки с отметкой о регистрации в уполномоченном органе в области правовой статистики и специальных учетов, если иное не предусмотрено настоящим Кодексом;

2) служебное удостоверение либо идентификационную карту;

3) при необходимости – разрешение компетентного органа на посещение режимных объектов;

4) медицинский допуск, наличие которого необходимо для посещения объектов, выданный в порядке, определенном уполномоченным органом в области здравоохранения.

2. Началом проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки считается дата вручения субъекту контроля и надзора (руководителю юридического лица либо его уполномоченному лицу, физическому лицу) акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, если иное не предусмотрено настоящим Кодексом, а также ознакомления субъекта контроля и надзора с проверочным листом (при его наличии) с указанием пунктов требований, подлежащих профилактическому контролю с посещением субъекта (объекта) контроля и надзора и (или) проверке.

3. В случаях отказа в принятии акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, ознакомлении с проверочным листом, а также воспрепятствования доступу должностного лица органа, осуществляющего профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку, к материалам, необходимым для проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, составляется протокол об административном правонарушении, предусмотренном статьей 462 Кодекса Республики Казахстан "Об административных правонарушениях".

Протокол подписывается должностным лицом органа контроля и надзора, осуществляющим профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку, и руководителем юридического лица либо его уполномоченным лицом, физическим лицом.

Руководитель юридического лица либо его уполномоченное лицо, физическое лицо вправе отказаться от подписания протокола, дав письменное объяснение причины отказа.

Отказ от получения акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки не является основанием для отмены профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки.

Профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверка могут проводиться только тем должностным лицом (лицами), которое (которые) указано (указаны) в акте о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки.

При этом состав должностных лиц, проводящих профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку, может изменяться по решению органа контроля и надзора, о чем субъект контроля и надзора и уполномоченный орган в области правовой статистики и специальных учетов уведомляются до начала участия в профилактическом контроле с посещением субъекта (объекта) контроля и надзора и (или) проверке лиц, не указанных в акте о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, с указанием причины замены.

4. При необходимости одновременного проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки нескольких субъектов контроля и надзора по одному и тому же кругу вопросов одним органом контроля и надзора данный орган обязан оформить акт о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки на каждого субъекта контроля и надзора и зарегистрировать его в уполномоченном органе в области правовой статистики и специальных учетов, за исключением налоговой проверки, проводимой по вопросам:

1) постановки на регистрационный учет в налоговых органах;

2) наличия контрольно-кассовых машин или трехкомпонентной интегрированной системы;

3) наличия и подлинности средств идентификации и учетно-контрольных марок;

4) наличия сопроводительных накладных на товары и соответствия наименования, количества (объема) товаров сведениям, указанным в сопроводительных накладных на товары:

при перемещении, реализации и (или) отгрузке товаров по территории Республики Казахстан;

при ввозе товаров на территорию Республики Казахстан с территории государств, не являющихся членами Евразийского экономического союза, и государств – членов Евразийского экономического союза;

при вывозе товаров с территории Республики Казахстан на территорию государств, не являющихся членами Евразийского экономического союза, и государств – членов Евразийского экономического союза;

5) наличия лицензии;

6) наличия оборудования (устройства), предназначенного для осуществления платежей с использованием платежных карточек;

7) наличия товарно-транспортных накладных на импортируемые товары и соответствия наименования товаров сведениям, указанным в товарно-транспортных накладных, при проверке автомобильных транспортных средств на постах транспортного контроля или органов внутренних дел;

8) наличия документов, предусмотренных нормативными правовыми актами Республики Казахстан, принятыми в реализацию международных договоров, ратифицированных Республикой Казахстан, при вывозе товаров с территории Республики Казахстан на территорию государств – членов Евразийского экономического союза и соответствия товаров сведениям, указанным в документах.

Сноска. Статья 147 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 148. Сроки проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки

1. Сроки проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки устанавливаются с учетом объема предстоящих работ, а также поставленных задач и не должны превышать:

1) для субъектов микропредпринимательства – не более пяти рабочих дней и с продлением до пяти рабочих дней;

2) для субъектов малого, среднего и крупного предпринимательства, а также субъектов контроля и надзора, не являющихся субъектами частного предпринимательства:

при проведении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки на соответствие требованиям – не более пятнадцати рабочих дней и с продлением на срок не более пятнадцати рабочих дней;

при проведении внеплановых проверок – не более десяти рабочих дней и с продлением до десяти рабочих дней.

2. Сроки проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки могут быть продлены только один раз в сроки, определенные пунктом 1 настоящей статьи, руководителем органа контроля и надзора (либо лицом, исполняющим его обязанности) только в случаях необходимости:

1) получения информации от иностранных государственных органов в рамках международных договоров Республики Казахстан;

2) установления местонахождения лица, в отношении которого проводятся профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверка;

3) получения результатов лабораторных исследований.

В случае продления сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки орган контроля и надзора оформляет дополнительный акт о продлении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки с регистрацией в уполномоченном органе в области правовой статистики и специальных учетов, в котором указываются номер и дата регистрации предыдущего акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки и причина продления.

В случае продления сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки орган контроля и надзора в обязательном порядке уведомляет об этом субъект контроля и надзора (руководителя юридического лица либо его уполномоченное лицо, физическое лицо), за исключением случая, предусмотренного подпунктом 2) части первой настоящего пункта.

Уведомление о продлении сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки направляется органом контроля и надзора за один рабочий день до продления в форме заказного почтового отправления с уведомлением о вручении либо посредством электронного документа, подписанного посредством электронной цифровой подписи, по адресу электронной почты субъекта контроля и надзора, если такой адрес ранее был представлен данным субъектом в орган контроля и надзора, или иным доступным способом.

Сноска. Статья 148 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 149. Порядок отбора образцов продукции

Примечание ИЗПИ!
В часть первую пункта 1 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1. Отбор образцов продукции проводится при профилактическом контроле с посещением субъекта (объекта) контроля и надзора и (или) проверке.

Количество отбираемых образцов продукции определяется в соответствии с требованиями нормативных правовых актов и нормативных документов Республики Казахстан на продукцию и методы испытаний продукции.

2. Отбор образцов продукции производится должностным лицом органа контроля и надзора в присутствии руководителя или представителя субъекта контроля и надзора и уполномоченного лица субъекта контроля и надзора и удостоверяется актом отбора образцов продукции.

Отобранные образцы продукции должны быть укомплектованы, упакованы и опломбированы (опечатаны).

3. Акт отбора образцов продукции составляется в трех экземплярах. Все экземпляры акта подписываются должностным лицом органа контроля и надзора, отобравшим образцы продукции, и руководителем либо представителем субъекта контроля и надзора и уполномоченным лицом субъекта контроля и надзора.

Один экземпляр акта отбора образцов продукции вместе с направлением и образцами продукции, отобранными должным образом, направляется в организацию, уполномоченную законодательством Республики Казахстан для проведения экспертизы (анализа, испытания).

Второй экземпляр акта отбора образцов продукции остается у субъекта контроля и надзора.

Третий экземпляр акта отбора образцов продукции хранится у должностного лица органа контроля и надзора, осуществившего отбор образцов продукции.

В акте отбора образцов продукции указываются:

1) место и дата составления;

2) номер и дата решения руководителя органа контроля и надзора, на основании которого осуществляется отбор образцов продукции;

3) должности, фамилии, имена и отчества (если они указаны в документах, удостоверяющих личность) должностных лиц органа контроля и надзора, осуществляющих отбор образцов продукции;

4) наименование и место нахождения субъекта (объекта) контроля и надзора, у которого производится отбор образцов продукции;

5) должность и фамилия, имя, отчество (если оно указано в документе, удостоверяющем личность) руководителя или представителя субъекта контроля и надзора и уполномоченного лица субъекта контроля и надзора;

6) перечень и количество отобранных образцов продукции с указанием производителя, даты производства, серии (номера) партии, общей стоимости образцов;

7) вид упаковки и номер печати (пломбы).

Примечание ИЗПИ!
Пункт 4 предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4. Расходы, связанные с отбором образцов продукции, финансируются за счет бюджетных средств.

Сноска. Статья 149 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 150. Акт отбора образцов продукции

Сноска. Статья 150 исключена Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 151. Ограничения при проведении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки

При проведении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки должностные лица органа контроля и надзора не вправе:

1) проверять выполнение требований, не установленных в проверочных листах данного органа контроля и надзора, а также если такие требования не относятся к компетенции государственного органа, от имени которого действуют данные должностные лица;

2) требовать предоставления документов, информации, образцов продукции, проб обследования объектов окружающей среды и объектов производственной среды, если они не являются объектами профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки или не относятся к предмету профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

3) отбирать образцы продукции, пробы обследования объектов окружающей среды и объектов производственной среды для проведения их исследований, испытаний, измерений без оформления акта об отборе указанных образцов, проб по установленной форме и (или) в количестве, превышающем нормы, установленные национальными стандартами, правилами отбора образцов, проб и методами их исследований, испытаний, измерений, техническими регламентами или действующими до дня их вступления в силу иными нормативными техническими документами, правилами и методами исследований, испытаний, измерений;

4) разглашать и (или) распространять информацию, полученную в результате проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки и составляющую коммерческую, налоговую или иную охраняемую законом тайну, за исключением случаев, предусмотренных законами Республики Казахстан;

5) превышать установленные сроки проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

Примечание ИЗПИ!
В подпункт 6) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6) проводить профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку субъекта (объекта) контроля и надзора, в отношении которого ранее проводились профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверки его вышестоящим (нижестоящим) органом либо иным государственным органом по одному и тому же вопросу за один и тот же период, за исключением случаев, предусмотренных подпунктами 3), 4), 5), 6), 7) и 8) пункта 5 статьи 144 настоящего Кодекса;

7) проводить мероприятия, носящие затратный характер, в целях проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки за счет субъектов контроля и надзора.

Сноска. Статья 151 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 152. Порядок оформления результатов профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки

1. По результатам профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки должностным лицом органа контроля и надзора составляются:

1) акт о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

2) предписание об устранении выявленных нарушений в случаях выявления нарушений.

2. В акте о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки указываются:

1) дата, время и место составления акта;

2) наименование органа контроля и надзора;

3) дата и номер акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки (дополнительного акта о продлении срока при его наличии), на основании которого проведены профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверки;

4) фамилия, имя, отчество (если оно указано в документе, удостоверяющем личность) и должность лица (лиц), проводившего (проводивших) профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку;

5) наименование или фамилия, имя, отчество (если оно указано в документе, удостоверяющем личность) субъекта контроля и надзора, должность представителя физического или юридического лица, присутствовавшего при проведении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

6) дата, место и период проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

7) сведения о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, в том числе о выявленных нарушениях, их характере;

8) наименование проверочного листа и пункты требований, по которым выявлены нарушения;

9) сведения об ознакомлении или отказе в ознакомлении с актом о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки представителей субъекта контроля и надзора, а также лиц, присутствовавших при проведении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, их подписи или отказ от подписи;

10) подпись должностного лица (лиц), проводившего (проводивших) профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку.

3. К акту о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки прилагаются:

1) предписание об устранении выявленных нарушений в случае выявления нарушений;

2) акты отбора образцов продукции, обследования объектов окружающей среды и объектов производственной среды, протоколы (заключения) проведенных исследований (испытаний) и экспертиз и другие документы или их копии, связанные с результатами профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, – при их наличии.

4. По каждому акту о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, в ходе проведения которых были выявлены нарушения пунктов требований проверочных листов, может быть выдано только одно предписание об устранении выявленных нарушений.

5. Формы акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, акта о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, предписания об устранении выявленных нарушений утверждаются Генеральной прокуратурой Республики Казахстан, за исключением акта (уведомлений) о назначении, результатах проверок, осуществляемых органами государственных доходов.

6. В предписании об устранении выявленных нарушений указываются:

1) дата, время и место составления предписания;

2) наименование органа контроля и надзора;

3) фамилия, имя, отчество (если оно указано в документе, удостоверяющем личность) и должность лица (лиц), проводившего (проводивших) профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку;

4) наименование или фамилия, имя, отчество (если оно указано в документе, удостоверяющем личность) субъекта контроля и надзора, должность представителя физического или юридического лица, присутствовавшего при проведении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

5) дата, место и период проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

6) перечень выявленных нарушений в соответствии с пунктами требований проверочного листа с обязательным указанием степени тяжести нарушения в соответствии с субъективными критериями оценки степени риска;

7) указания по устранению выявленных нарушений с указанием сроков их устранения;

8) сведения об ознакомлении или отказе в ознакомлении с предписанием представителя субъекта контроля и надзора (руководителя юридического лица либо его уполномоченного лица, физического лица), а также лиц, присутствовавших при профилактическом контроле с посещением субъекта (объекта) контроля и надзора и (или) проверке, их подписи или отказ от подписи;

9) подпись должностного лица (лиц), проводившего (проводивших) профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку.

7. Сроки исполнения предписания об устранении выявленных нарушений определяются с учетом обстоятельств, оказывающих влияние на реальную возможность его исполнения, но не менее десяти календарных дней со дня вручения предписания об устранении выявленных нарушений.

Сроки об устранении выявленных нарушений устанавливаются законами Республики Казахстан.

При определении сроков исполнения предписания об устранении выявленных нарушений учитываются:

1) наличие у субъекта контроля и надзора организационных, технических и финансовых возможностей по устранению нарушений;

2) особенности технического состояния используемых производственных объектов;

3) сроки получения в государственных органах, местных исполнительных органах соответствующего разрешения или подачи уведомления, предусмотренного приложениями 1, 2 и 3 к Закону Республики Казахстан "О разрешениях и уведомлениях", а также иных обязательных заключений, согласований и других документов, установленных законами Республики Казахстан.

Примечание ИЗПИ!
В часть четвертую пункта 7 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

В случае необходимости дополнительных временных и (или) финансовых затрат субъект контроля и надзора не позднее трех рабочих дней со дня вручения ему акта о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки и предписания об устранении выявленных нарушений вправе обратиться в орган контроля и надзора, проводивший профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку, с заявлением о продлении сроков устранения выявленных нарушений.

В заявлении субъект контроля и надзора обязан изложить меры, которые будут приняты по устранению выявленных нарушений, и объективные причины продления сроков их устранения.

Орган контроля и надзора, проводивший профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку, в течение трех рабочих дней со дня получения заявления с учетом изложенных в заявлении о продлении сроков устранения выявленных нарушений доводов принимает решение о продлении сроков устранения выявленных нарушений или отказе в продлении с мотивированным обоснованием.

8. Акт о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, предписание об устранении выявленных нарушений составляются в трех экземплярах.

Органом контроля и надзора первый экземпляр акта о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, предписания об устранении выявленных нарушений сдается в электронной форме в уполномоченный орган в области правовой статистики и специальных учетов и его территориальные органы, второй экземпляр на бумажном носителе под роспись или в электронной форме вручается субъекту контроля и надзора (руководителю юридического лица либо его уполномоченному лицу, физическому лицу) для ознакомления и принятия мер по устранению выявленных нарушений и других действий, третий остается у органа контроля и надзора.

Акт о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, предписание об устранении выявленных нарушений, сформированные в электронной форме, по выбору субъекта контроля и надзора передаются посредством веб-портала "электронного правительства" или информационных систем уполномоченного органа в области правовой статистики и специальных учетов.

Акт о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, предписание об устранении выявленных нарушений, сформированные в электронной форме, направляются на адрес электронной почты, указанный субъектом контроля и надзора.

9. В случае наличия замечаний и (или) возражений по результатам профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки руководитель юридического лица или физическое лицо либо их представители излагают замечания и (или) возражения в письменном виде.

Замечания и (или) возражения прилагаются к акту о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, о чем делается соответствующая отметка.

10. Изъятие и выемка подлинных бухгалтерских и иных документов запрещаются, если иное не предусмотрено частью второй настоящего пункта.

Изъятие и выемка подлинных документов производятся в соответствии с нормами Уголовно-процессуального кодекса Республики Казахстан, а также в случаях, предусмотренных Кодексом Республики Казахстан об административных правонарушениях.

11. В случае отсутствия нарушений требований, установленных законодательством Республики Казахстан, при проведении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки в акте о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки производится соответствующая запись.

12. Завершением срока профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки считается день вручения субъекту контроля и надзора акта о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки не позднее срока окончания профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, указанного в акте о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки (дополнительном акте о продлении срока при его наличии).

Примечание ИЗПИ!
В пункт 13 предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

13. По истечении срока устранения выявленных нарушений, указанных в предписании об устранении выявленных нарушений, субъект контроля и надзора в течение срока, установленного в этом предписании, обязан предоставить в орган контроля и надзора, проводивший профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку, информацию об устранении выявленных нарушений.

14. В случае непредоставления субъектом контроля и надзора в установленный срок информации об исполнении предписания об устранении выявленных нарушений по результатам профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки орган контроля и надзора в течение двух рабочих дней направляет субъекту контроля и надзора запрос о необходимости предоставления информации об исполнении предписания.

Примечание ИЗПИ!
Часть вторая пункта 14 предусмотрена в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

В случае непредоставления информации об исполнении предписания об устранении выявленных нарушений в соответствии с частью первой настоящего пункта орган контроля и надзора вправе назначить внеплановую проверку в соответствии с подпунктами 1) и 2) пункта 5 статьи 144 настоящего Кодекса, за исключением контроля исполнения предписания об устранении выявленного нарушения по итогам внеплановой проверки.

Примечание ИЗПИ!
В часть первую пункта 15 предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

15. В случае досрочного устранения выявленных нарушений, указанных в предписании об устранении выявленных нарушений, субъект контроля и надзора обязан предоставить в орган контроля и надзора, проводивший профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку, информацию об устранении выявленных нарушений.

К предоставленной информации об устранении выявленных нарушений субъект контроля и надзора прилагает (при необходимости) материалы, доказывающие факт устранения нарушения.

Примечание ИЗПИ!
В часть третью пункта 15 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

В этом случае проведение внеплановой проверки в соответствии с подпунктами 1) и 2) пункта 5 статьи 144 настоящего Кодекса не требуется.

Сноска. Статья 152 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 152-1. Порядок оформления результатов профилактического контроля и надзора с посещением субъекта (объекта) контроля и надзора

Сноска. Глава 13 дополнена статьей 152-1 в соответствии с Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); исключена Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).
Примечание ИЗПИ!
Статья 153 предусмотрена в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 153. Меры, принимаемые должностными лицами органов контроля и надзора по фактам нарушений, выявленных при осуществлении контроля

Сноска. Заголовок статьи 153 с изменением, внесенным Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Если в результате проведения контроля и надзора будет выявлен факт нарушений субъектом (объектом) контроля и надзора требований, установленных законодательством Республики Казахстан в соответствии с пунктом 2 статьи 132 и пунктом 3 статьи 143 настоящего Кодекса, должностное лицо (лица) органа контроля и надзора в пределах полномочий, предусмотренных законодательством Республики Казахстан, обязано принять предусмотренные законами Республики Казахстан меры по устранению выявленных нарушений, их предупреждению, предотвращению возможного причинения вреда жизни, здоровью людей и окружающей среде, законным интересам физических и юридических лиц, а также меры по привлечению лиц, допустивших нарушения, к ответственности, установленной законами Республики Казахстан.

При принятии мер запретительно-ограничительного характера в отношении субъекта (объекта) контроля и надзора орган контроля и надзора в случаях и порядке, определяемых законами Республики Казахстан, уведомляет прокурора.

Сноска. Статья 153 с изменениями, внесенными Законом РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 154. Права и обязанности должностных лиц государственных органов при осуществлении контроля

1. Должностные лица государственных органов при проведении контроля за субъектами (объектами) контроля и надзора имеют право:

1) беспрепятственного доступа на территорию и в помещения объекта контроля и надзора при предъявлении документов, указанных в пункте 1 статьи 147 настоящего Кодекса;

2) получать копии документов (сведений) на бумажных и электронных носителях для приобщения к акту о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки или к предписанию об устранении выявленных нарушений по итогам профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, а также доступ к автоматизированным базам данных (информационным системам) в соответствии с предметом профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

3) осуществлять аудио-, фото- и видеосъемку;

4) использовать записи технических средств контроля, приборов наблюдения и фиксации, фото- и видеоаппаратуры, относящиеся к предмету профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

5) привлекать специалистов, консультантов и экспертов государственных органов и подведомственных организаций.

2. Должностным лицам органов контроля и надзора, осуществляющим профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку, запрещается предъявлять требования и обращаться с просьбами, не относящимися к предмету профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки.

3. Должностные лица органов контроля и надзора при проведении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки обязаны:

1) соблюдать законодательство Республики Казахстан, права и законные интересы субъектов контроля и надзора;

2) проводить профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверку на основании и в строгом соответствии с порядком, установленным настоящим Кодексом и (или) иными законами Республики Казахстан;

3) не препятствовать установленному режиму работы субъектов (объектов) контроля и надзора в период проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

4) своевременно и в полной мере исполнять предоставленные в соответствии с законами Республики Казахстан полномочия по предупреждению, выявлению и пресечению нарушений требований, установленных законодательством Республики Казахстан в соответствии с пунктом 2 статьи 132 и пунктом 3 статьи 143 настоящего Кодекса;

5) не препятствовать субъекту контроля и надзора либо его уполномоченному представителю присутствовать при проведении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, давать разъяснения по вопросам, относящимся к предмету профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

6) предоставлять субъекту контроля и надзора необходимую информацию, относящуюся к предмету профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

7) вручить субъекту контроля и надзора акт о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, в случаях выявления нарушений – предписание об устранении выявленных нарушений по результатам проведенных профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки в день их окончания либо в порядке и сроки, которые установлены Законом Республики Казахстан "О государственном регулировании, контроле и надзоре финансового рынка и финансовых организаций";

8) обеспечить сохранность документов и сведений, полученных в результате проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки.

Сноска. Статья 154 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 155. Права и обязанности субъекта контроля и надзора либо его уполномоченного представителя при осуществлении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки

1. Субъекты контроля и надзора либо их уполномоченные представители при осуществлении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки вправе:

1) не допускать к профилактическому контролю с посещением субъекта (объекта) контроля и надзора и (или) проверке должностных лиц органов контроля и надзора, прибывших для проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки на объект, в случаях:

несоблюдения кратности проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки на соответствие требованиям, указанным в нормативных правовых актах Республики Казахстан, утвержденных в соответствии со статьей 141 настоящего Кодекса;

превышения либо истечения указанных в акте о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки (дополнительном акте о продлении срока при его наличии) сроков, не соответствующих срокам, установленным настоящим Кодексом;

назначения органом контроля и надзора профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки субъекта (объекта) контроля и надзора, в отношении которого ранее проводились профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверка по одному и тому же вопросу за один и тот же период, за исключением случаев, предусмотренных подпунктами 3), 4), 5), 6), 7) и 8) пункта 5 статьи 144 настоящего Кодекса;

Примечание ИЗПИ!
Абзац пятый подпункта 1) предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

назначения внеплановой проверки в соответствии с подпунктом 1) пункта 5 статьи 144 настоящего Кодекса, если предшествующим профилактическим контролем с посещением субъекта (объекта) контроля и надзора не были выявлены грубые нарушения;

отсутствия информации и документов, предусмотренных статьями 141, 143 и пунктом 1 статьи 146 настоящего Кодекса;

назначения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки за период, выходящий за рамки промежутка времени, указанного в заявлении или сообщении о совершенных либо готовящихся уголовных правонарушениях, в иных обращениях о нарушениях прав и законных интересов физических, юридических лиц и государства;

поручения проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки лицам, не имеющим на то соответствующих полномочий;

указания в одном акте о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки нескольких субъектов контроля и надзора, подвергаемых профилактическому контролю с посещением субъекта (объекта) контроля и надзора и (или) проверке;

продления сроков профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки свыше срока, установленного настоящим Кодексом;

грубых нарушений требований настоящего Кодекса в соответствии с пунктом 2 статьи 156 настоящего Кодекса;

2) не представлять документы и сведения, если они не относятся к предмету проводимого профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, а также к периоду, указанному в акте о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

3) обжаловать акт о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, акт о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, предписание об устранении выявленных нарушений по итогам профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, а также действия (бездействие) должностных лиц органов контроля и надзора в порядке, установленном настоящим Кодексом и законодательством Республики Казахстан;

4) не исполнять не основанные на законе запреты органов контроля и надзора или должностных лиц, ограничивающие деятельность субъектов (объектов) контроля и надзора;

5) фиксировать процесс осуществления профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, а также отдельные действия должностного лица, проводимые им в рамках профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, с помощью средств аудио- и видеотехники, не создавая препятствий деятельности должностного лица;

6) привлекать третьих лиц к участию в профилактическом контроле с посещением субъекта (объекта) контроля и надзора и (или) проверке в целях представления своих интересов и прав, а также осуществления третьими лицами действий, предусмотренных подпунктом 5) настоящего пункта.

2. Субъекты контроля и надзора либо их уполномоченные представители при проведении органами контроля и надзора профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки обязаны:

1) обеспечить беспрепятственный доступ должностных лиц органов контроля и надзора на территорию и в помещения субъекта (объекта) контроля и надзора при соблюдении требований пункта 1 статьи 146 настоящего Кодекса;

2) с соблюдением требований по охране коммерческой, налоговой либо иной охраняемой законом тайны представлять должностным лицам органов контроля и надзора копии документов (сведений) на бумажных и электронных носителях для приобщения к акту о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки и предписанию об устранении выявленных нарушений, а также предоставлять доступ к автоматизированным базам данных (информационным системам) в соответствии с предметом профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

3) сделать отметку о получении на втором экземпляре акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

4) сделать отметку о получении на втором экземпляре акта о результатах профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки в день окончания профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

5) сделать отметку о получении на втором экземпляре предписания об устранении выявленных нарушений по результатам профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

6) не допускать внесения изменений и дополнений в проверяемые документы в период проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, если иное не предусмотрено настоящим Кодексом либо иными законами Республики Казахстан;

7) обеспечить безопасность лиц, прибывших для проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки на объект, от вредных и опасных производственных факторов воздействия в соответствии с установленными для данного объекта нормативами;

8) в случае получения уведомления о начале проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки находиться на месте нахождения объекта контроля и надзора в назначенные сроки профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки.

Сноска. Статья 155 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 156. Недействительность профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, проведенных с грубым нарушением требований настоящего Кодекса

1. Профилактический контроль с посещением субъекта (объекта) контроля и надзора и (или) проверки признаются недействительными, если они проведены органом контроля и надзора с грубым нарушением требований к организации и проведению профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, установленных настоящим Кодексом.

Акт профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки и предписание об устранении выявленных нарушений по итогам профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, признанных недействительными, не могут являться доказательством нарушения субъектами контроля и надзора требований, установленных в соответствии с пунктом 2 статьи 132 и пунктом 3 статьи 143 настоящего Кодекса.

Признание профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки недействительными является основанием для отмены вышестоящим государственным, в том числе коллегиальным, органом или судом акта данного профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, предписания об устранении выявленных нарушений по результатам профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки.

Рассмотрение вышестоящим государственным органом заявления субъекта контроля и надзора об отмене акта в связи с недействительностью профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, отмене предписания об устранении выявленных нарушений в связи с недействительностью профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки осуществляется в течение десяти рабочих дней со дня подачи заявления.

Нарушение установленного срока рассмотрения такого заявления решается в пользу субъекта контроля и надзора.

2. К грубым нарушениям требований настоящего Кодекса относятся:

1) отсутствие оснований проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

2) отсутствие акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

3) отсутствие уведомления, а равно несоблюдение сроков уведомления о начале проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

4) нарушение требований статьи 151 настоящего Кодекса;

5) нарушение периодичности проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки на соответствие требованиям, указанным в нормативных правовых актах Республики Казахстан, утвержденных в соответствии со статьей 141 настоящего Кодекса;

6) непредставление субъекту контроля и надзора акта о назначении профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки;

7) назначение органами контроля и надзора профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки по вопросам, не входящим в их компетенцию;

8) проведение профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки без регистрации акта о профилактическом контроле с посещением субъекта (объекта) контроля и надзора и (или) проверке в уполномоченном органе в области правовой статистики и специальных учетов, когда такая регистрация обязательна;

9) нарушение сроков проведения профилактического контроля с посещением субъекта (объекта) контроля и надзора и (или) проверки, предусмотренных статьей 148 настоящего Кодекса;

10) проведение профилактического контроля с посещением субъекта (объекта) контроля и надзора без проведения предварительного профилактического контроля без посещения субъекта (объекта) контроля и надзора в соответствии с пунктом 5 статьи 131 настоящего Кодекса.

Сноска. Статья 156 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Статья 157. Порядок обжалования решений, действий (бездействия) органов контроля и надзора и их должностных лиц

1. В случае нарушения прав и законных интересов субъектов контроля и надзора при осуществлении контроля субъект контроля и надзора вправе обжаловать решения, действия (бездействие) органов контроля и надзора и их должностных лиц в вышестоящий государственный орган в порядке, предусмотренном главой 29 настоящего Кодекса, либо в суд в порядке, установленном законодательством Республики Казахстан.

2. Обжалование решений, действий (бездействия) органов контроля и надзора и их должностных лиц, связанных с расследованием уголовного дела, субъектом контроля и надзора осуществляется в порядке, установленном Уголовно-процессуальным кодексом Республики Казахстан.

Сноска. Статья 157 - в редакции Закона РК от 30.12.2021 № 95-VII (вводится в действие с 01.01.2023).

Параграф 3. Контроль за соблюдением условий инвестиционных контрактов

Сноска. Параграф 3 исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

РАЗДЕЛ 4. ЭКОНОМИЧЕСКАЯ КОНКУРЕНЦИЯ
Глава 14. КОНКУРЕНЦИЯ

Статья 160. Цели государственного регулирования конкуренции

Целями государственного регулирования конкуренции являются защита конкуренции, поддержание и создание благоприятных условий для добросовестной конкуренции на товарных рынках Республики Казахстан и эффективного функционирования товарных рынков, обеспечение единства экономического пространства, свободного перемещения товаров и свободы экономической деятельности в Республике Казахстан, регулирование и ограничение монополистической деятельности в соответствии с настоящим Кодексом, содействие добросовестной конкуренции и предупреждение нарушений законодательства Республики Казахстан в области защиты конкуренции, пресечение антиконкурентных действий государственных, местных исполнительных органов, организаций, наделенных государством функциями регулирования деятельности субъектов рынка, и недобросовестной конкуренции.

Сноска. Статья 160 в редакции Закона РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

Статья 161. Отношения в сфере государственного регулирования конкуренции

1. Настоящий раздел распространяется на отношения, которые влияют или могут повлиять на конкуренцию на товарных рынках Республики Казахстан, в которых участвуют субъекты рынка, потребители, а также государственные органы и местные исполнительные органы. При этом потребителем признается физическое или юридическое лицо, приобретающее товар для собственных нужд.

2. Положения настоящего раздела применяются также к совершенным за пределами территории Республики Казахстан действиям субъекта рынка, если в результате таких действий выполняется одно из следующих условий:

1) прямо или косвенно затрагиваются находящиеся на территории Республики Казахстан основные средства и (или) нематериальные активы либо акции (доли участия в уставном капитале) субъектов рынка, имущественные или неимущественные права в отношении юридических лиц Республики Казахстан;

2) ограничивается конкуренция в Республике Казахстан.

Статья 162. Понятие конкуренции

1. Конкуренцией является состязательность субъектов рынка, при которой их самостоятельные действия эффективно ограничивают возможность каждого из них односторонне воздействовать на общие условия обращения товаров на соответствующем товарном рынке.

2. Конкуренция основывается на началах состязательности, добросовестности, законности, соблюдении прав потребителей, которые применяются одинаковым образом, в равной мере и на равных условиях ко всем субъектам рынка независимо от организационно-правовой формы и места регистрации таких субъектов рынка.

Статья 163. Государственная политика в сфере конкуренции

1. Антимонопольным органом является государственный орган, осуществляющий руководство в сфере защиты конкуренции и ограничения монополистической деятельности, контроль и регулирование деятельности, отнесенной к сфере государственной монополии.

2. Антимонопольный орган вырабатывает предложения по формированию государственной политики в сфере защиты конкуренции и ограничения монополистической деятельности.

3. Центральные и местные исполнительные органы принимают участие в реализации государственной политики в области конкуренции в пределах их компетенции, определенной настоящим Кодексом и иным законодательством Республики Казахстан.

4. Государственные органы в пределах своей компетенции обязаны принимать меры по развитию конкуренции при реализации государственной политики в соответствующих отраслях экономики и не совершать действий (бездействия), отрицательно влияющих на конкуренцию.

Сноска. Статья 163 с изменением, внесенным Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

Статья 163-1. Обязательные услуги, оказываемые субъектами естественных монополий и квазигосударственного сектора

1. В целях обеспечения безопасности производства отдельных видов товаров, работ, услуг субъекты естественных монополий и квазигосударственного сектора оказывают обязательные услуги физическим и юридическим лицам, предусмотренные законодательством Республики Казахстан.

2. Под обязательными услугами понимается деятельность (действия, процессы), осуществляемая субъектами естественных монополий и (или) квазигосударственного сектора, получение которых для физических и юридических лиц является обязательным в соответствии с законодательством Республики Казахстан, а также подтверждает их право на осуществление ими своей деятельности или действий (операций), а неполучение таких услуг влечет административную или гражданско-правовую ответственность.

3. При оказании обязательных услуг физическим и юридическим лицам субъекты естественных монополий и квазигосударственного сектора используют объекты информатизации, а также представляют данные в машиночитаемом виде в объекты информатизации "электронного правительства" в соответствии с Правилами оказания обязательных услуг субъектами естественных монополий и квазигосударственного сектора в рамках защиты конкуренции и ограничения монополистической деятельности.

Сноска. Глава 14 дополнена статьей 163-1 в соответствии с Законом РК от 24.05.2018 № 156-VI (вводится в действие с 01.01.2019); с изменением, внесенным Законом РК от 05.04.2023 № 221-VII (вводится в действие с 01.07.2023).

Статья 164. Субъект рынка

Субъектом рынка являются:

1) физическое лицо, осуществляющее предпринимательскую деятельность;

2) юридическое лицо Республики Казахстан или его филиал, являющийся самостоятельным налогоплательщиком (за исключением финансовых организаций), осуществляющие предпринимательскую деятельность;

3) иностранное юридическое лицо (его филиал и представительство), осуществляющее предпринимательскую деятельность;

4) некоммерческая организация, осуществляющая предпринимательскую деятельность в соответствии с ее уставными целями.

Сноска. Статья 164 с изменениями, внесенными Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 165. Группа лиц

1. Группой лиц признается совокупность физических лиц и (или) юридических лиц, соответствующих одному или нескольким из следующих признаков:

1) субъект рынка и физическое лицо или юридическое лицо, если такое физическое лицо или такое юридическое лицо имеет в силу своего участия в данном субъекте рынка либо в соответствии с полномочиями, полученными, в том числе на основании письменного соглашения, от других лиц, право распоряжаться более чем пятьюдесятью процентами общего количества голосов, приходящихся на голосующие акции (доли участия в уставном капитале, паи) данного субъекта рынка;

2) субъект рынка и физическое лицо или юридическое лицо, если такое физическое лицо или такое юридическое лицо осуществляет функции единоличного исполнительного органа данного субъекта рынка;

3) субъект рынка и физическое лицо или юридическое лицо, если такое физическое лицо или такое юридическое лицо на основании учредительных документов данного субъекта рынка или заключенного с данным субъектом рынка договора вправе давать данному субъекту рынка обязательные для исполнения указания;

4) юридические лица, в которых более чем пятьдесят процентов количественного состава коллегиального исполнительного органа и (или) совета директоров (наблюдательного совета, совета фонда) составляют одни и те же физические лица;

5) субъект рынка и физическое лицо или юридическое лицо, если по предложению такого физического лица или такого юридического лица назначен или избран единоличный исполнительный орган данного субъекта рынка;

6) субъект рынка и физическое лицо или юридическое лицо, если по предложению такого физического лица или такого юридического лица избрано более чем пятьдесят процентов количественного состава коллегиального исполнительного органа либо совета директоров (наблюдательного совета) данного субъекта рынка;

7) физическое лицо, его супруга (супруг), родители (в том числе усыновители), дети (в том числе усыновленные), полнородные и неполнородные братья и сестры;

8) лица, каждое из которых по какому-либо из указанных в подпунктах 1), 2), 3), 4), 5), 6) и 7) настоящего пункта признаку входит в группу с одним и тем же лицом, а также другие лица, входящие с любым из таких лиц в группу по какому-либо из указанных в подпунктах 1), 2), 3), 4), 5), 6) и 7) настоящего пункта признаку;

9) субъект рынка, физические лица и (или) юридические лица, которые по какому-либо из указанных в подпунктах 1), 2), 3), 4), 5), 6), 7) и 8) настоящего пункта признаку входят в группу лиц, если такие лица в силу своего совместного участия в данном субъекте рынка или в соответствии с полномочиями, полученными от других лиц, имеют право распоряжаться более чем пятьюдесятью процентами голосующих акций (долей участия в уставном капитале, паев) данного субъекта рынка.

2. Группа лиц рассматривается как единый субъект рынка. Положения настоящего раздела, относящиеся к субъектам рынка, распространяются на группу лиц.

Статья 166. Аффилированные лица юридических лиц

1. Для целей настоящего раздела под аффилированными лицами юридических лиц, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, понимаются юридические лица, в которых более пятидесяти процентов акций (долей участия в уставном капитале) прямо либо косвенно принадлежат юридическим лицам, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству.

2. Косвенная принадлежность означает принадлежность каждому последующему аффилированному лицу более пятидесяти процентов акций (долей участия в уставном капитале) иного юридического лица.

Глава 15. МОНОПОЛИСТИЧЕСКАЯ ДЕЯТЕЛЬНОСТЬ

Статья 167. Понятие и виды монополистической деятельности

1. Монополистической деятельностью является деятельность субъектов рынка, положение которых дает возможность контролировать соответствующий товарный рынок, в том числе позволяет оказывать значительное влияние на общие условия обращения товара на соответствующем товарном рынке.

2. К монополистической деятельности, ограниченной настоящим Кодексом, относятся:

1) антиконкурентные соглашения субъектов рынка;

2) антиконкурентные согласованные действия субъектов рынка;

3) злоупотребление доминирующим или монопольным положением.

Статья 168. Виды антиконкурентных соглашений и согласованных действий

1. Антиконкурентные соглашения или согласованные действия между субъектами рынка, являющимися конкурентами (субъектами рынка, осуществляющими продажу либо приобретение товаров на одном товарном рынке) или потенциальными конкурентами, являются горизонтальными.

Конкурентом является субъект рынка, находящийся в состоянии состязательности с другими субъектами соответствующего рынка ввиду того, что производит и (или) реализует на соответствующем товарном рынке товар, аналогичный либо взаимозаменяемый с товаром субъектов рынка.

Потенциальным конкурентом признается субъект рынка, который имеет возможность (владеет оборудованием, технологиями) производить и (или) реализовать товар, аналогичный либо взаимозаменяемый с товаром конкурента, но не производит и не реализует его на соответствующем товарном рынке.

2. Антиконкурентные соглашения между неконкурирующими субъектами рынка, один из которых приобретает товар, а другой предоставляет товар или является его потенциальным продавцом (поставщиком), являются вертикальными.

Сноска. Статья 168 с изменением, внесенным Законом РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 169. Антиконкурентные соглашения

1. Признается картелем и запрещаются горизонтальные соглашения между субъектами рынка, если такие соглашения приводят или могут привести к:

1) установлению или поддержанию цен (тарифов), скидок, надбавок (доплат) и (или) наценок;

2) повышению, снижению или поддержанию цен на торгах, искажению итогов торгов, аукционов и конкурсов, в том числе путем раздела по лотам;

3) разделу товарного рынка по территориальному принципу, объему продажи или покупки товаров, ассортименту реализуемых товаров либо составу продавцов или покупателей (заказчиков);

4) сокращению или прекращению производства товаров;

5) отказу от заключения договоров с определенными продавцами либо покупателями (заказчиками).

Положения подпункта 2) части первой настоящего пункта распространяются, в том числе, на соглашения между субъектами рынка, входящими в одну группу лиц.

2. Запрещаются вертикальные соглашения между субъектами рынка, если:

1) такие соглашения приводят или могут привести к установлению цены перепродажи товара, за исключением случая, когда продавец устанавливает для покупателя (заказчика) максимальную цену перепродажи товара;

2) таким соглашением предусмотрено обязательство покупателя (заказчика) не продавать товар субъекта рынка, который является конкурентом продавца. Такой запрет не распространяется на соглашения об организации покупателем продажи товаров под товарным знаком либо иным средством индивидуализации продавца или производителя;

3) таким соглашением предусмотрено обязательство продавца не продавать товар субъекту рынка, который является конкурентом покупателя (заказчика).

3. Запрещаются и признаются недействительными полностью или частично в порядке, установленном законодательством Республики Казахстан, достигнутые в любой форме соглашения между субъектами рынка, которые приводят или могут привести к ограничению конкуренции, в том числе касающиеся:

1) установления или поддержания дискриминационных условий к равнозначным договорам с другими субъектами рынка, в том числе установления согласованных условий приобретения и (или) реализации товаров;

2) экономически, технологически и иным образом необоснованного установления субъектами рынка различных цен (тарифов) на один и тот же товар;

3) необоснованного ограничения или прекращения реализации товаров;

4) заключения договоров при условии принятия контрагентами дополнительных обязательств, которые по своему содержанию или согласно обычаям делового оборота не касаются предмета этих договоров (необоснованных требований передачи финансовых средств и иного имущества, имущественных или неимущественных прав);

5) ограничения доступа на товарный рынок или устранения с него других субъектов рынка в качестве продавцов (поставщиков) определенных товаров или их покупателей.

Запреты, установленные частью первой настоящего пункта, не распространяются на вертикальные соглашения, если доля субъекта (субъектов) рынка на одном из рассматриваемых товарных рынков не превышает двадцати процентов, за исключением вертикальных соглашений при организации и проведении закупок товаров и торгов либо соглашений, являющихся договорами государственно-частного партнерства, в том числе договорами концессии, комплексной предпринимательской лицензии (франчайзинга).

4. Антиконкурентные соглашения могут быть заключены (достигнуты) в письменной и (или) устной форме.

5. Согласование действий субъектов рынка третьим лицом, не входящим в одну группу лиц ни с одним из таких субъектов рынка и не осуществляющим деятельность на том товарном рынке (товарных рынках), на котором (которых) осуществляется согласование действий субъектов рынка, признается координацией экономической деятельности. Запрещается координация экономической деятельности субъектов рынка, способная привести, приводящая или приведшая к последствиям, перечисленным в пунктах 1–3 настоящей статьи.

6. Запреты на антиконкурентные соглашения не распространяются на соглашения между субъектами рынка, входящими в одну группу лиц, если одним из таких субъектов рынка в отношении другого субъекта рынка установлен контроль, а также если такие субъекты рынка находятся под контролем одного лица.

Под контролем понимается возможность физического или юридического лица прямо или косвенно (через юридическое лицо или через несколько юридических лиц) определять решения, принимаемые другим юридическим лицом, посредством одного или нескольких следующих действий:

1) распоряжение более чем пятьюдесятью процентами голосующих акций (долей участия в уставном капитале, паев) юридического лица;

2) осуществление функций исполнительного органа юридического лица;

3) получение права определять условия ведения предпринимательской деятельности субъектов рынка или давать данным субъектам рынка обязательные для исполнения указания в соответствии с договором государственно-частного партнерства, комплексной предпринимательской лицензией (франчайзинг), лицензионным договором или иным соглашением между правообладателем (лицом, уполномоченным правообладателем) и субъектами рынка об организации продажи товара под товарным знаком или иным средством индивидуализации правообладателя.

7. Требования настоящей статьи не распространяются на соглашения об осуществлении исключительных прав на результаты интеллектуальной деятельности и приравненные к ним средства индивидуализации юридического лица, средства индивидуализации товаров при условии, что такие соглашения не привели или не могут привести к ограничению или устранению конкуренции.

8. Соглашения, предусмотренные настоящей статьей, за исключением указанных в пункте 1 настоящей статьи, признаются допустимыми, если они не накладывают на субъектов рынка ограничения, не являющиеся необходимыми для достижения целей этих соглашений, и не создают возможность для устранения конкуренции на соответствующем товарном рынке, и если субъекты рынка докажут, что такие соглашения имеют или могут иметь своим результатом:

1) содействие совершенствованию производства (реализации) товаров или стимулированию технического (экономического) прогресса либо повышение конкурентоспособности производимых товаров производства сторон на мировом товарном рынке;

2) получение потребителями соразмерной части преимуществ (выгод), которые приобретаются соответствующими лицами от совершения таких действий.

Сноска. Статья 169 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 169-1. Требования о защите конкуренции при организации и проведении закупок товаров и торгов

1. Организаторам закупок товаров, операторам закупок и торгов запрещается координация деятельности поставщиков закупок и участников торгов, если это действие приведет или может привести к недопущению, ограничению или устранению конкуренции.

2. Под организаторами закупок товаров понимаются:

1) государственные органы, государственные учреждения, за исключением Национального Банка Республики Казахстан, его ведомств;

2) государственные предприятия, юридические лица, пятьдесят и более процентов голосующих акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированные с ними юридические лица, национальные управляющие холдинги, национальные холдинги, национальные компании и организации, пятьдесят и более процентов акций (долей участия в уставном капитале) которых прямо или косвенно принадлежат национальному управляющему холдингу, национальному холдингу, национальной компании, за исключением организаций, входящих в структуру Национального Банка Республики Казахстан, и юридических лиц, пятьдесят и более процентов голосующих акций (долей участия в уставном капитале) которых принадлежат Национальному Банку Республики Казахстан или находятся в его доверительном управлении;

3) недропользователи, ведущие добычу на крупных месторождениях полезных ископаемых и осуществляющие закуп товаров в порядке, установленном законодательством Республики Казахстан о недрах и недропользовании;

4) субъекты естественных монополий, которым утвержден тариф с применением затратного метода тарифного регулирования и которые осуществляют закуп товаров в порядке, установленном законодательством Республики Казахстан о естественных монополиях, за исключением субъектов естественных монополий малой мощности.

3. Под операторами закупок и торгов понимаются лица, осуществляющие организационное и техническое обеспечение закупок и торгов путем их непосредственного проведения с использованием торговых или информационных систем, товарных бирж и иных торговых площадок, за исключением лиц, которые осуществляют организационное и техническое обеспечение закупок и торгов с использованием торговых или информационных систем, товарных бирж и иных торговых площадок для реализации собственного имущества и (или) приобретения товаров (работ, услуг) для собственных нужд и (или) нужд субъектов рынка, входящих с ними в одну группу лиц.

К операторам закупок и торгов, указанным в части первой настоящего пункта, относятся:

1) государственные органы, государственные учреждения, государственные предприятия, юридические лица, пятьдесят и более процентов голосующих акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированные с ними юридические лица, национальные управляющие холдинги, национальные холдинги, национальные компании и организации, пятьдесят и более процентов акций (долей участия в уставном капитале) которых прямо или косвенно принадлежат национальному управляющему холдингу, национальному холдингу, национальной компании;

2) товарные биржи и иные торговые площадки и системы, где заключаются договоры продажи товаров между субъектами рынка, между государственными органами или государственными учреждениями и субъектами рынка.

Примечание ИЗПИ!
В абзац первый пункта 4 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4. Организаторы закупок товаров, за исключением закупок, проводимых в электронной форме, и недропользователей, указанных в подпункте 3) пункта 2 настоящей статьи, предоставляющих информацию о проведенных закупках уполномоченным государственным органам и (или) уполномоченным организациям в соответствии с законодательством Республики Казахстан, предоставляют антимонопольному органу:

Примечание ИЗПИ!
В подпункт 1) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1) ежегодный план закупок не позднее месяца со дня его утверждения, за исключением случая размещения его на соответствующем интернет-ресурсе;

Примечание ИЗПИ!
В подпункт 2) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2) информацию о проведенных закупках по форме, утвержденной антимонопольным органом, ежеквартально не позднее десятого числа месяца, следующего за отчетным кварталом.

Примечание ИЗПИ!
В пункт 5 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5. Уполномоченные государственные органы и (или) уполномоченные организации, получающие от недропользователей, указанных в подпункте 3) пункта 2 настоящей статьи, информацию о закупках, обязаны по требованию антимонопольного органа предоставлять постоянный доступ к информационной системе электронных закупок товаров или в случае ее отсутствия информацию о проведенных закупках по форме, утвержденной антимонопольным органом, ежеквартально не позднее десятого числа месяца, следующего за отчетным кварталом.

Примечание ИЗПИ!
В пункт 6 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6. Операторы закупок и торгов, за исключением закупок и торгов, проводимых в электронной форме, предоставляют антимонопольному органу информацию о проведенных торгах ежеквартально не позднее десятого числа месяца, следующего за отчетным кварталом.

7. Операторы закупок и торгов, проводимых в электронной форме, по требованию антимонопольного органа предоставляют постоянный доступ:

1) к торговым или информационным системам, товарным биржам и иным торговым площадкам электронных закупок товаров или торгов, позволяющий в режиме реального времени осуществлять мониторинг проведения закупок товаров и торгов;

2) к документации и иной информации, относящейся к процессу осуществления закупок и торгов.

Сноска. Глава 15 дополнена статьей 169-1 в соответствии с Законом РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); с изменениями, внесенными Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 170. Антиконкурентные согласованные действия субъектов рынка

1. Запрещаются согласованные действия субъектов рынка, осуществляющих производство, реализацию товаров, направленные на ограничение конкуренции, в том числе касающиеся:

1) установления и (или) поддержания цен либо других условий приобретения или реализации товаров;

2) необоснованного ограничения производства либо реализации товаров;

3) необоснованного отказа от заключения договоров с определенными продавцами (поставщиками) либо покупателями;

4) применения дискриминационных условий к равнозначным договорам с другими субъектами.

2. Действия субъектов рынка, указанные в пункте 1 настоящей статьи, могут быть признаны согласованными, если они удовлетворяют в совокупности следующим условиям:

1) данные действия ограничивают конкуренцию;

2) результат таких действий соответствует интересам каждого из субъектов рынка;

3) действия субъектов рынка заранее известны каждому из них в связи с публичным заявлением одного из них или публичным размещением информации одним из них о совершении таких действий;

4) действия каждого из указанных субъектов рынка вызваны действиями иных субъектов рынка, участвующих в согласованных действиях;

5) действия субъектов рынка не являются следствием обстоятельств, в равной мере влияющих на данных субъектов рынка (изменение налогового и иного законодательства Республики Казахстан, динамики потребления, тарифов на услуги субъектов естественных монополий, цен на сырье и товары, используемые при производстве, реализации товаров);

6) совокупная доля субъектов рынка на соответствующем товарном рынке составляет тридцать пять и более процентов. При этом минимальная величина доли одного субъекта рынка на соответствующем товарном рынке должна составлять пять и более процентов.

3. Действия субъектов рынка, указанные в пункте 1 настоящей статьи, признаются согласованными независимо от наличия письменного соглашения.

4. Допускаются согласованные действия, если они совершены субъектами рынка, входящими в одну группу лиц и направлены на:

1) совершенствование производства (реализации) товаров путем внедрения передовых технологий, стандартизации, системы контроля качества, защиты окружающей среды, предоставляя потребителям соразмерную часть получаемых преимуществ;

2) развитие малого и среднего предпринимательства;

3) разработку и применение документов по стандартизации.

Сноска. Статья 170 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 05.10.2018 № 184-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 171. Предварительное рассмотрение проекта соглашения субъектов рынка

1. Субъекты рынка, имеющие намерение достичь соглашения, которое может быть признано допустимым в соответствии со статьей 169 настоящего Кодекса, вправе обратиться в антимонопольный орган с заявлением о проверке соответствия проекта соглашения требованиям статьи 169 настоящего Кодекса с приложением необходимых документов в электронной форме.

2. Антимонопольный орган принимает решение о соответствии или несоответствии проекта соглашения субъектов рынка требованиям статьи 169 настоящего Кодекса в срок до тридцати календарных дней со дня поступления заявления, указанного в пункте 1 настоящей статьи.

Сноска. Статья 171 в редакции Закона РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 172. Доминирующее или монопольное положение

1. Доминирующим или монопольным положением признается положение субъекта рынка или нескольких субъектов рынка на соответствующем товарном рынке, дающее субъекту рынка или нескольким субъектам рынка возможность контролировать соответствующий товарный рынок, в том числе оказывать значительное влияние на общие условия обращения товара.

2. Доминирующее положение субъекта рынка устанавливается в соответствии с Методикой по проведению анализа состояния конкуренции на товарном рынке, утверждаемой антимонопольным органом.

3. Доминирующим признается положение субъекта рынка, доля которого на соответствующем товарном рынке составляет тридцать пять и более процентов, если в отношении такого субъекта рынка установлены в совокупности следующие обстоятельства:

1) возможность субъекта рынка в одностороннем порядке определять уровень цены товара и оказывать решающее влияние на общие условия реализации товара на товарном рынке;

2) наличие экономических, технологических, административных или иных ограничений для доступа на товарный рынок;

3) продолжительность существования возможности субъекта рынка оказывать решающее влияние на общие условия обращения товара на товарном рынке.

В случае, если субъект рынка занимает долю пятьдесят и более процентов, доминирующим признается положение субъекта рынка без учета обстоятельств, перечисленных в подпунктах 1), 2) и 3) части первой настоящего пункта.

4. Доминирующим признается положение каждого из нескольких субъектов рынка, если совокупная доля не более чем трех субъектов рынка, которым принадлежат наибольшие доли на соответствующем товарном рынке, составляет пятьдесят и более процентов или совокупная доля не более чем четырех субъектов рынка, которым принадлежат наибольшие доли на соответствующем товарном рынке, составляет семьдесят и более процентов, если в отношении такого субъекта рынка установлены в совокупности следующие обстоятельства:

1) в течение длительного периода (в течение не менее чем одного года или, если такой срок составляет менее чем один год, в течение срока существования соответствующего товарного рынка) относительные размеры долей субъектов рынка неизменны или подвержены малозначительным изменениям;

2) реализуемый или приобретаемый субъектами рынка товар не может быть заменен другим товаром при потреблении (в том числе при потреблении в производственных целях);

3) информация о цене и (или) об условиях реализации этого товара на соответствующем товарном рынке доступна неопределенному кругу лиц.

5. Доминирующим признается положение финансовых организаций, если:

1) совокупная доля не более чем двух финансовых организаций, которым принадлежат наибольшие доли на соответствующем рынке финансовых услуг, составляет пятьдесят и более процентов;

2) совокупная доля не более чем трех финансовых организаций, которым принадлежат наибольшие доли на соответствующем рынке финансовых услуг, составляет семьдесят и более процентов.

6. Доминирующим в соответствии с пунктами 4 и 5 настоящей статьи не может быть признано положение субъекта рынка, доля которого на соответствующем товарном рынке, в том числе и на рынке финансовых услуг, не превышает пятнадцати процентов.

7. Монопольным признается положение субъектов естественной монополии, государственной монополии, специального права, а также субъектов рынка, занимающих стопроцентную долю доминирования на соответствующем товарном рынке (субъекты, занимающие монопольное положение).

8. Субъект рынка вправе представлять в антимонопольный орган доказательства того, что положение этого субъекта рынка на товарном рынке не может быть признано доминирующим.

Антимонопольный орган в течение пятнадцати рабочих дней со дня поступления рассматривает представленные доказательства и принимает соответствующее решение, которое направляется субъекту рынка.

Сноска. Статья 172 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 03.01.2022 № 101-VII (порядок введения в действие см. ст. 2).
Примечание ИЗПИ!
Главу 15 предусмотрено дополнить статьей 172-1 в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 173. Формирование и ведение государственного реестра субъектов рынка, занимающих доминирующее или монопольное положение на регулируемых рынках

Сноска. Статья 173 действовала до 01.01.2017 в соответствии с Кодексом РК от 29.10.2015 № 375-V.

Статья 174. Злоупотребление доминирующим или монопольным положением

Запрещаются действия (бездействие) субъектов рынка, занимающих доминирующее или монопольное положение, которые привели или приводят к ограничению доступа на соответствующий товарный рынок, недопущению, ограничению и устранению конкуренции и (или) ущемляют законные права субъекта рынка или неопределенного круга потребителей, в том числе такие действия, как:

1) установление, поддержание монопольно высоких (низких) или монопсонически низких цен;

2) применение разных цен либо разных условий к равнозначным соглашениям с субъектами рынка или потребителями без объективно оправданных на то причин, за исключением случаев, когда применение разных цен обусловлено разными затратами на производство, реализацию и доставку товара, недискриминационным применением системы скидок, учитывающей объемы продаж, условия оплаты, сроки действия договора;

3) установление ограничений на перепродажу купленных у него товаров по территориальному признаку, кругу покупателей, условиям покупки, а также количеству, цене;

4) обусловливание либо навязывание заключения соглашения путем принятия субъектом рынка или потребителем дополнительных обязательств, которые по своему содержанию или согласно обычаям делового оборота не касаются предмета этих соглашений;

5) необоснованный отказ от заключения договора или от реализации товара с отдельными покупателями при наличии на момент обращения возможности производства или реализации соответствующего товара либо уклонение, выразившееся в непредставлении ответа на предложение о заключении такого договора в срок, превышающий тридцать календарных дней.

При этом отказ либо уклонение считается обоснованным в случае, если в момент обращения покупателя отсутствует требуемый объем производимого или реализуемого товара, в том числе в связи с заключением договоров о продаже соответствующего товара;

6) обусловливание поставки товаров принятием ограничений при покупке товаров, произведенных либо реализуемых конкурентами;

7) необоснованное сокращение объемов производства и (или) поставки или прекращение производства и (или) поставки товаров, на которые имеются спрос или заказы потребителей, субъектов рынка при наличии возможности производства или поставки;

8) изъятие товара из обращения, если результатом такого изъятия явилось повышение цены товара;

9) навязывание контрагенту экономически или технологически необоснованных условий договора, не относящихся к предмету договора;

10) создание препятствий доступу на товарный рынок или выходу из товарного рынка другим субъектам рынка;

11) экономически, технологически или иным образом необоснованное установление различных цен (тарифов) на один и тот же товар, создание дискриминационных условий.

12) непредоставление равного доступа к ключевой мощности.

Сноска. Статья 174 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 175. Монопольно высокая и монопольно низкая цена товара

1. Монопольно высокой ценой товара является цена, установленная субъектом рынка, занимающим доминирующее или монопольное положение, если эта цена превышает сумму необходимых для производства и реализации такого товара расходов и прибыли и цену, которая сформировалась в условиях конкуренции на соответствующем или сопоставимом товарном рынке, в том числе установленная:

1) путем повышения ранее установленной цены товара, если при этом выполняются в совокупности следующие условия:

расходы, необходимые для производства и реализации товара, остались неизменными или их изменение несоразмерно изменению цены товара;

состав продавцов или покупателей товара остался неизменным либо изменение состава продавцов или покупателей товара является незначительным;

условия обращения товара на товарном рынке, в том числе обусловленные мерами государственного регулирования, включая налогообложение, таможенно-тарифное, тарифное и нетарифное регулирование, остались неизменными или их изменение несоразмерно изменению цены товара;

2) путем неснижения ранее установленной цены товара, если при этом выполняются в совокупности следующие условия:

расходы, необходимые для производства и реализации товара, существенно снизились;

состав продавцов или покупателей товара обусловливает возможность изменения цены товара в сторону уменьшения;

условия обращения товара на товарном рынке, в том числе обусловленные мерами государственного регулирования, включая налогообложение, таможенно-тарифное, тарифное и нетарифное регулирование, обеспечивают возможность изменения цены товара в сторону уменьшения.

2. Товарным рынком является сфера обращения товара (в том числе товара иностранного производства), который не может быть заменен другим товаром, или взаимозаменяемых товаров, в границах которой (в том числе географической) исходя из экономической, технической или иной возможности либо целесообразности приобретатель может приобрести товар и за пределами которой такая возможность либо целесообразность отсутствует.

3. Под сопоставимым товарным рынком понимается другой товарный рынок, сопоставимый по объему продаваемого товара, составу покупателей или продавцов (поставщиков) товара, определяемому исходя из целей приобретения или продажи товара, и условиям доступа на товарный рынок.

В случае, если невозможно сравнить цену на этом же товарном рынке, сравнение производится с ценой товара на сопоставимом товарном рынке, в том числе за пределами Республики Казахстан.

В случае, если невозможно определить цену, сложившуюся в условиях конкуренции на сопоставимом товарном рынке, либо сопоставимый товарный рынок, в том числе за пределами Республики Казахстан, проводится анализ расходов и прибыли субъекта рынка и определяется обоснованная цена товара.

4. Не признается монопольно высокой цена товара, установленная субъекту рынка в соответствии с законами Республики Казахстан.

4-1. Цена на биржевые товары, сложившаяся в ходе надлежаще проведенных торгов на товарных биржах и электронных торговых площадках, не признается монопольно высокой (низкой) в порядке, определяемом антимонопольным органом, в случае, если такая цена не установлена в результате осуществления монополистической деятельности, ограниченной настоящим Кодексом.

Цена биржевого товара не признается монопольно высокой в порядке, определяемом антимонопольным органом, в случае, если она не превышает цену, сложившуюся за рассматриваемый период в ходе надлежаще проведенных торгов на товарных биржах и электронных торговых площадках.

Факт установления монопольно высокой (низкой) цены выявляется путем расследования нарушений законодательства Республики Казахстан в области защиты конкуренции.

5. Монопольно низкой ценой товара является цена, установленная субъектом рынка, занимающим доминирующее или монопольное положение, если:

1) эта цена ниже цены, которую на этом же товарном рынке устанавливает субъект рынка, не входящий в одну группу лиц с субъектом рынка, занимающим доминирующее положение;

2) эта цена ниже суммы фактических расходов на производство и реализацию такого товара.

6. Цена товара не признается монопольно низкой, если она не соответствует хотя бы одному из указанных в пункте 5 настоящей статьи критериев. Не признается монопольно низкой цена товара, установленная субъекту рынка в соответствии с законами Республики Казахстан.

7. При определении монопольно высокой цены товара в соответствии с пунктом 1 настоящей статьи учитываются биржевые и внебиржевые индикаторы цен, установленные на мировых и казахстанском рынках аналогичного товара.

Сноска. Статья 175 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.04.2019 № 241-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 176. Монопсоническое положение и монопсонически низкая цена

1. Монопсоническим положением признается положение субъекта рынка, занимающего доминирующее или монопольное положение в качестве покупателя, доля которого на соответствующем товарном рынке составляет семьдесят и более процентов.

2. Монопсонически низкой ценой является цена товара, по которой приобретает товар субъект рынка, занимающий монопсоническое положение, если:

1) эта цена позволяет субъекту рынка, занимающему монопсоническое положение, получить дополнительный доход путем снижения затрат на производство и (или) реализацию за счет субъектов рынка, реализующих ему товар;

2) эта цена ниже суммы необходимых субъекту рынка, реализующему товар, расходов на производство и реализацию такого товара и прибыли.

3. Цена товара не признается монопсонически низкой, если она не соответствует хотя бы одному из указанных в пункте 2 настоящей статьи критериев.

Статья 176-1. Обеспечение равного доступа к ключевой мощности

1. Ключевой мощностью являются товар, объект инфраструктуры субъекта рынка, занимающего доминирующее или монопольное положение (далее – обладатель ключевой мощности), без доступа к которым другие субъекты рынка не могут осуществлять производство и (или) реализацию товара на соответствующем или смежном товарном рынке.

2. Товар, объект инфраструктуры субъекта рынка признаются ключевой мощностью при совокупности следующих условий:

1) дублирование товара, объекта инфраструктуры невозможно или экономически нецелесообразно в силу технологических особенностей;

2) обладатель ключевой мощности вправе владеть, пользоваться и распоряжаться соответствующим товаром, объектом инфраструктуры;

3) наличие возможности у обладателя ключевой мощности в предоставлении доступа к соответствующему товару, объекту инфраструктуры;

4) необоснованный отказ обладателя ключевой мощности в доступе к соответствующему товару, объекту инфраструктуры будет оказывать отрицательное влияние на конкуренцию;

5) доступ к соответствующему объему товара, объекту инфраструктуры обладателя ключевой мощности не предоставляется посредством биржевых торгов.

3. Обладатели ключевой мощности обязаны предоставлять равный доступ к ключевой мощности другим субъектам рынка в соответствии с правилами равного доступа к ключевой мощности, утверждаемыми антимонопольным органом, за исключением случая, когда иной порядок доступа к соответствующей ключевой мощности регламентирован законодательством Республики Казахстан.

В случае, если ключевая мощность является сырьевым товаром, обладатели соответствующей ключевой мощности обязаны предоставлять к ней равный доступ только производителям товаров, использующим указанное сырье.

В случае, если ключевая мощность является программным продуктом, доступ к ней осуществляется в соответствии с законодательством Республики Казахстан в сфере интеллектуальной собственности.

4. Равный доступ к ключевой мощности предоставляется на рыночных условиях.

5. Требования, указанные в пункте 3 настоящей статьи, не распространяются на обладателей ключевой мощности в объеме, используемом для собственных нужд и (или) потребителями, входящими с ними в одну группу лиц, без цели дальнейшей перепродажи.

Положение части первой настоящего пункта не распространяется на субъектов квазигосударственного сектора.

Сноска. Глава 15 дополнена статьей 176-1 в соответствии с Законом РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Глава 16. НЕДОБРОСОВЕСТНАЯ КОНКУРЕНЦИЯ

Статья 177. Понятие недобросовестной конкуренции

1. Недобросовестной конкуренцией являются любые направленные на приобретение преимуществ в предпринимательской деятельности действия субъекта рынка (группы лиц) или нескольких субъектов рынка (группы лиц), которые противоречат законодательству Республики Казахстан, обычаям делового оборота, требованиям добропорядочности, разумности и справедливости и причинили или могут причинить ущерб другим субъектам рынка – конкурентам либо нанесли или могут нанести вред их деловой репутации.

2. К недобросовестной конкуренции относятся в том числе следующие действия:

1) неправомерное использование средств индивидуализации товаров, работ, услуг, а также объектов авторского права;

2) неправомерное использование товара другого производителя;

3) копирование внешнего вида изделия;

4) дискредитация субъекта рынка;

5) заведомо ложная, недобросовестная и недостоверная реклама;

6) реализация (приобретение) товара с принудительным ассортиментом;

7) призыв к бойкоту продавца (поставщика) конкурента;

8) призыв к дискриминации покупателя (поставщика);

9) призыв субъекта рынка к разрыву договора с конкурентом;

10) подкуп работника продавца (поставщика);

11) подкуп работника покупателя;

12) неправомерное использование информации, составляющей коммерческую тайну;

13) реализация товара с предоставлением потребителю недостоверной информации в отношении характера, способа и места производства, потребительских свойств, качества и количества товара и (или) его производителей;

14) некорректное сравнение субъектом рынка производимых и (или) реализуемых им товаров с товарами, производимыми и (или) реализуемыми другими субъектами рынка.

15) создание барьеров смены продавца (поставщика) товара.

Сноска. Статья 177 с изменениями, внесенными Законом РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 178. Неправомерное использование средств индивидуализации товаров, работ, услуг, а также объектов авторского права

Неправомерным использованием средств индивидуализации товаров, работ, услуг, а также объектов авторского права является незаконное использование чужого товарного знака, знака обслуживания, фирменного наименования, наименования места происхождения товара или сходных с ними обозначений для однородных товаров или использование без разрешения правообладателя или уполномоченного на то лица названий литературных, художественных произведений, периодических изданий, или использование их на упаковке в виде, который может ввести потребителя в заблуждение в отношении характера, способа и места производства, потребительских свойств, качества и количества товара или в отношении его производителей.

Сноска. Статья 178 с изменением, внесенным Законом РК от 20.06.2018 № 161-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 179. Неправомерное использование товара другого производителя

Неправомерным использованием товара другого производителя является введение в хозяйственный оборот под своим обозначением товара другого производителя путем изменений либо снятия обозначений производителя без разрешения правообладателя или уполномоченного на то лица.

Статья 180. Копирование внешнего вида изделия

1. Копированием внешнего вида изделия является воспроизведение внешнего вида изделия другого субъекта рынка и введение его в хозяйственный оборот, которое может ввести в заблуждение потребителя в отношении производителя товара.

2. Не признается неправомерным копирование внешнего вида изделия или его частей, если такое копирование обусловлено исключительно их функциональным применением.

Статья 181. Дискредитация субъекта рынка

Дискредитацией субъекта рынка является распространение в любой форме заведомо ложных, недостоверных сведений, связанных с деятельностью субъекта рынка.

Статья 182. Заведомо ложная, недобросовестная и недостоверная реклама

Признаки недобросовестной, недостоверной и заведомо ложной рекламы устанавливаются в соответствии с законами Республики Казахстан.

Статья 183. Реализация (приобретение) товара с принудительным ассортиментом

Реализацией (приобретением) товара с принудительным ассортиментом являются любые действия продавца (поставщика) или покупателя по установлению дополнительных требований или условий при реализации (приобретении) товара, которые ущемляют права продавца (поставщика), потребителя и которые по своему содержанию или согласно обычаям делового оборота не касаются предмета сделки.

Статья 184. Призыв к бойкоту продавца (поставщика)конкурента

Призывом к бойкоту продавца (поставщика) конкурента или его товара являются организованные конкурентом непосредственно или через посредника действия, направленные на отказ покупателей от установления договорных отношений с продавцом (поставщиком) конкурента или приобретения его товаров.

Статья 185. Призыв к дискриминации покупателя (поставщика)

Призывом к дискриминации покупателя (поставщика) являются действия конкурента покупателя (поставщика) непосредственно или через посредника, направленные на принуждение поставщика (покупателя) к отказу от заключения договора или применению дискриминационных условий к иным покупателям (поставщикам) по равнозначным договорам.

Статья 186. Призыв к разрыву договора с конкурентом

Призывом к разрыву договора с конкурентом являются действия субъекта рынка, направленные на невыполнение или выполнение ненадлежащим образом договорных обязательств иного субъекта рынка – участника договора с конкурентом, путем предоставления или предложения непосредственно или через посредника материального вознаграждения, других преимуществ либо необоснованного препятствования субъекту рынка в осуществлении им своей деятельности.

Статья 187. Подкуп работника продавца (поставщика)

Подкупом работника продавца (поставщика) является предоставление ему конкурентом покупателя непосредственно или через посредника имущества или неимущественных благ за ненадлежащее исполнение или неисполнение работником продавца (поставщика) служебных обязанностей, что приводит или может привести к получению конкурентом покупателя определенных преимуществ перед покупателем и (или) убыткам покупателя.

Статья 188. Подкуп работника покупателя

Подкупом работника покупателя является предоставление ему конкурентом продавца (поставщика) непосредственно или через посредника имущества или неимущественных благ за ненадлежащее исполнение или неисполнение работником покупателя служебных обязанностей, что приводит или может привести к получению конкурентом продавца (поставщика) определенных преимуществ перед продавцом (поставщиком) и (или) убыткам продавца (поставщика).

Статья 189. Неправомерное использование информации, составляющей коммерческую тайну

Неправомерным использованием информации, составляющей коммерческую тайну, является использование без разрешения правообладателя при осуществлении предпринимательской деятельности сведений, составляющих в соответствии с законодательством Республики Казахстан коммерческую тайну.

Статья 190. Реализация товара с предоставлением потребителю недостоверной информации в отношении характера, способа и места производства, потребительских свойств, качества и количества товара и (или) его производителей

Реализацией товара с предоставлением недостоверной информации является предоставление потребителю в любой форме недостоверной информации в отношении характера, способа и места производства, потребительских свойств, качества и количества товара и (или) его производителей.

Статья 191. Некорректное сравнение субъектом рынка производимых и (или) реализуемых им товаров с товарами, производимыми и (или) реализуемыми другими субъектами рынка

Некорректным сравнением субъектом рынка производимых и (или) реализуемых им товаров с товарами, производимыми и (или) реализуемыми другими субъектами рынка, являются осуществляемые в любой форме и с помощью любых средств публичные высказывания, заявления, утверждения, в которых свои товары сопоставляются с товарами (причисляются к товарам) других субъектов рынка, включая использование превосходной степени, в отсутствие документального подтверждения заявленного превосходства своего товара над товаром конкурента (причисления своего товара к товарам конкурента).

Примечание ИЗПИ!
Статья 191-1 предусмотрена в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 191-1. Создание барьеров смены продавца (поставщика) товара

Созданием барьеров смены продавца (поставщика) товара является предъявление потребителю требований при расторжении договора, не предусмотренных ранее или превышающих требования при заключении договора, а также неразмещение в публичном доступе информации, необходимой для обеспечения свободной смены продавца (поставщика) товара.

Порядок размещения в публичном доступе информации, необходимой для обеспечения свободной смены продавца (поставщика) товара, определяется антимонопольным органом.

Сноска. Глава 16 дополнена статьей 191-1 в соответствии с Законом РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Глава 17. УЧАСТИЕ ГОСУДАРСТВА В ПРЕДПРИНИМАТЕЛЬСКОЙ ДЕЯТЕЛЬНОСТИ

Статья 192. Основания участия государства в предпринимательской деятельности

1. Государство участвует в предпринимательской деятельности в следующих случаях:

1) отсутствия иной возможности обеспечения национальной безопасности, обороноспособности государства или защиты интересов общества;

2) использования и содержания стратегических объектов, находящихся в государственной собственности;

3) осуществления деятельности в сферах, отнесенных к государственной монополии;

4) отсутствия либо низкого уровня развития конкуренции на соответствующем товарном рынке;

5) осуществления деятельности ранее созданными государственными предприятиями, юридическими лицами, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированными с ними лицами.

Перечень видов деятельности, осуществляемых государственными предприятиями, юридическими лицами, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированными с ними лицами, утверждается Правительством Республики Казахстан.

2. Участие государства в предпринимательской деятельности осуществляется путем:

1) создания государственных предприятий (государственное предпринимательство);

2) прямого или косвенного участия в уставных капиталах юридических лиц.

3. Юридические лица, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированные с ними лица не вправе создавать дочерние организации, осуществляющие деятельность, уже представленную на товарном рынке субъектами частного предпринимательства и юридическими лицами, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированными с ними лицами, за исключением случаев, предусмотренных подпунктами 1) и 2) части первой пункта 1 настоящей статьи.

4. Создание государственных предприятий, юридических лиц, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированных с ними лиц, которые будут осуществлять свою деятельность на территории Республики Казахстан, осуществляется с согласия антимонопольного органа.

Запрещаются создание юридических лиц, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированных с ними лиц, которые в соответствии с критериями, установленными настоящим Кодексом, относятся к субъектам малого предпринимательства, а также участие государства в них.

При расширении и (или) изменении осуществляемых видов деятельности государственными предприятиями, юридическими лицами, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированными с ними лицами, которые будут осуществлять свою деятельность на территории Республики Казахстан, необходимо согласие антимонопольного органа.

4-1. Проекты правовых актов, предусматривающие создание, расширение и (или) изменение осуществляемых видов деятельности государственных предприятий, юридических лиц, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированных с ними лиц, подлежат обязательному согласованию с антимонопольным органом.

5. Создание юридических лиц, более двадцати пяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированных с ними лиц, которые будут осуществлять свою деятельность на территории Республики Казахстан, осуществляется с последующей продажей акций (долей участия в уставном капитале) государства с учетом срока окупаемости проекта.

6. В случае, предусмотренном пунктом 4 настоящей статьи, орган, принимающий решение о создании государственного предприятия, юридического лица, более пятидесяти процентов акций (долей участия в уставном капитале) которого принадлежат государству, и аффилированных с ними лиц, которые будут осуществлять свою деятельность на территории Республики Казахстан, представляет в антимонопольный орган ходатайство о таком создании с предоставлением обосновывающих материалов по форме, установленной антимонопольным органом.

В течение шестидесяти календарных дней с момента поступления ходатайства антимонопольный орган обязан:

1) обследовать товарные рынки, на которых предполагается создать государственное предприятие, юридическое лицо, более пятидесяти процентов акций (долей участия в уставном капитале) которого принадлежат государству, и аффилированное с ним лицо, которые будут осуществлять свою деятельность на территории Республики Казахстан;

2) подготовить заключение об уровне развития конкуренции на данных товарных рынках, в том числе о сроке присутствия государственного предприятия, юридического лица, более пятидесяти процентов акций (долей участия в уставном капитале) которого принадлежат государству, и аффилированного с ним лица на данном товарном рынке;

3) направить органу, представившему ходатайство, обоснованное решение.

7. Антимонопольный орган отказывает в выдаче согласия на создание государственного предприятия, юридического лица, более пятидесяти процентов акций (долей участия в уставном капитале) которого принадлежат государству, и аффилированного с ним лица, которые будут осуществлять свою деятельность на территории Республики Казахстан, если такое создание ведет к ограничению конкуренции.

8. Создание, расширение и (или) изменение осуществляемых видов деятельности государственных предприятий, юридических лиц, более пятидесяти процентов акций (долей участия в уставном капитале) которых принадлежат государству, и аффилированных с ними лиц, которые осуществляют свою деятельность на территории Республики Казахстан без согласия антимонопольного органа, запрещаются и влекут ответственность, установленную законами Республики Казахстан.

В случаях, предусмотренных частью первой настоящего пункта, антимонопольный орган выносит предписание об устранении нарушений и их последствий.

9. Требования частей первой и второй пункта 4, пунктов 5, 6, 7 и 8 настоящей статьи распространяются только на случаи, предусмотренные подпунктами 4) и 5) части первой пункта 1 настоящей статьи.

Сноска. Статья 192 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 193. Государственная монополия и специальное право

1. Государственной монополией является исключительное право государства на производство, реализацию и (или) покупку какого-либо товара на конкурентном рынке, вводимое в порядке, предусмотренном настоящим Кодексом.

Специальным правом является исключительное или преимущественное право субъекта рынка, закрепляемое законом, на производство, реализацию и (или) покупку какого-либо товара на конкурентном рынке.

2. Государство вправе ограничивать конкуренцию в тех сферах деятельности, в которых реализация товаров на конкурентном рынке может оказать негативное влияние на состояние конституционного строя, национальной безопасности, охраны общественного порядка, прав и свобод человека, здоровья населения, путем закрепления законом исключительного права государства на производство и (или) продажу, покупку товара или пользование им либо предоставления законом субъекту рынка специального права.

3. Субъектом государственной монополии, за исключением Государственной корпорации "Правительство для граждан", Фонда социального медицинского страхования, государственной технической службы, может быть только государственное предприятие, созданное по решению Правительства Республики Казахстан.

Субъектом специального права может быть государственное предприятие, акционерное общество, товарищество с ограниченной ответственностью, сто процентов акций (долей участия в уставном капитале) которого прямо или косвенно принадлежат государству, определенное в порядке, установленном Правительством Республики Казахстан.

Требование, указанное в части второй настоящего пункта, не распространяется на Единого оператора маркировки и прослеживаемости товаров и юридических лиц, более пятидесяти процентов голосующих акций которых прямо или косвенно принадлежат государству, разместивших акции на первичном рынке ценных бумаг, а также аффилированных с ними лиц.

4. Запрещается предоставление субъектам рынка иных исключительных или преимущественных прав на производство, реализацию и (или) покупку какого-либо товара на конкурентном рынке в нарушение требований настоящей статьи.

5. Антимонопольный орган формирует и ведет государственный реестр субъектов государственной монополии, специального права.

6. Субъектам государственной монополии, специального права запрещается:

1) производить товары, не относящиеся к сфере государственной монополии, специального права, за исключением деятельности, технологически связанной с производством товаров;

2) владеть акциями (долями участия в уставном капитале), а также иным образом участвовать в деятельности других юридических лиц;

3) переуступать права, связанные с государственной монополией, специальным правом;

4) устанавливать цены на производимые или реализуемые товары, отличающиеся от цен, установленных государственным органом, осуществляющим руководство соответствующей отраслью (сферой) государственного управления, в порядке, определяемом антимонопольным органом.

Ограничения, предусмотренные подпунктами 1) и 2) части первой настоящего пункта, не распространяются на Государственную корпорацию "Правительство для граждан", Фонд социального медицинского страхования, государственную техническую службу и Единого оператора маркировки и прослеживаемости товаров.

При стихийных бедствиях, эпидемии, эпизоотии, а также наличии ограничений, препятствующих дальнейшему продолжению основной деятельности, Правительство Республики Казахстан предоставляет право субъекту государственной монополии, специального права на период до возобновления основной деятельности осуществлять иные, технологически близкие к основной, виды деятельности.

7. Субъекты государственной монополии, специального права являются организациями публичного интереса и несут обязанности в соответствии с законодательством Республики Казахстан о бухгалтерском учете и финансовой отчетности.

Субъекты государственной монополии, специального права обязаны вести раздельный учет доходов, затрат и задействованных активов по каждому виду деятельности, в том числе по технологически связанным видам деятельности.

8. Государственное регулирование деятельности субъектов государственной монополии, специального права осуществляется в соответствии с законами Республики Казахстан.

9. Перечень видов деятельности, технологически связанных с производством товаров, работ, услуг, утверждается государственным органом, осуществляющим руководство соответствующей отраслью (сферой) государственного управления, по согласованию с антимонопольным органом.

10. Контроль за соблюдением субъектами государственной монополии, специального права ограничений, установленных пунктом 6 настоящей статьи, осуществляется антимонопольным органом в соответствии с настоящим Кодексом.

11. При введении государственной монополии, специального права соблюдаются следующие условия:

1) субъекты рынка должны быть извещены о данном решении не менее чем за шесть месяцев до его введения в действие;

2) субъекты рынка, занимавшиеся производством, продажей или пользовавшиеся этим товаром в течение шестимесячного срока после введения в действие государственной монополии, специального права, вправе осуществлять реализацию этого товара, за исключением совершения сделок, срок исполнения которых превышает вышеуказанный срок;

3) субъектам рынка возмещается ущерб, причиненный в результате введения государственной монополии, специального права, в соответствии с гражданским законодательством Республики Казахстан за счет бюджетных средств.

12. Лишение статуса субъекта специального права осуществляется в случае двух и более нарушений в течение одного календарного года данным субъектом требований настоящей статьи или злоупотребления им своим монопольным положением на товарном рынке в порядке, определяемом Правительством Республики Казахстан.

13. Антимонопольный орган ежегодно проводит анализ деятельности отдельных субъектов государственной монополии, специального права согласно утвержденному графику и не позднее 5 января года, следующего за отчетным, направляет в Правительство Республики Казахстан предложения по передаче в конкурентную среду деятельности, отнесенной к сфере государственной монополии, специального права.

При передаче в конкурентную среду не допускаются возникновение монопольного положения и (или) ограничение конкуренции на соответствующем товарном рынке.

14. Положения настоящей статьи не распространяются на деятельность единого накопительного пенсионного фонда, дочерних организаций Национального Банка Республики Казахстан, способствующих осуществлению возложенных на них функций и (или) являющихся частью инфраструктуры финансового рынка, уполномоченной организации по обеспечению функционирования Семипалатинской зоны ядерной безопасности, субъектов естественной монополии.

Сноска. Статья 193 - в редакции Закона РК от 03.01.2022 № 101-VII (вводится в действие с 01.07.2022); с изменениями, внесенными Законом РК от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 05.07.2023 № 17-VIII (вводится в действие с 1 января 2024).

Глава 18. ЗАЩИТА КОНКУРЕНЦИИ

Статья 194. Антиконкурентные действия (бездействие), соглашения государственных, местных исполнительных органов, организаций, наделенных государством функциями регулирования деятельности субъектов рынка

Сноска. Заголовок статьи 194 в редакции Закона РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

1. Запрещаются и признаются недействительными полностью или частично в порядке, установленном законодательством Республики Казахстан, антиконкурентные действия (бездействие) государственных, местных исполнительных органов, организаций, наделенных государством функциями регулирования деятельности субъектов рынка, при реализации ими государственных функций или оказании мер государственной поддержки, выразившиеся в действиях (бездействии), принятии актов либо решений, которые привели или могут привести к ограничению или устранению конкуренции, за исключением случаев, предусмотренных законами Республики Казахстан в целях защиты конституционного строя, охраны общественного порядка, прав и свобод человека, здоровья и нравственности населения.

2. Антиконкурентными действиями (бездействием) государственных, местных исполнительных органов, организаций, наделенных государством функциями регулирования деятельности субъектов рынка, в том числе признаются:

1) введение ограничений в отношении создания субъекта рынка в какой-либо сфере деятельности;

2) необоснованное препятствование осуществлению деятельности субъекта рынка;

3) установление запретов или введение ограничений в отношении свободного перемещения товаров, иных ограничений прав субъекта рынка на реализацию товаров;

4) указания субъекту рынка о первоочередных поставках товаров для определенной категории покупателей либо первоочередном приобретении товаров у определенных продавцов (поставщиков) или заключении в приоритетном порядке договоров;

5) установление для приобретателей товаров ограничений выбора субъектов рынка, которые предоставляют такие товары;

6) действия, направленные на повышение, снижение или поддержание цен;

7) действия, направленные на раздел товарного рынка по территориальному принципу, объему продажи или покупки товаров, ассортименту реализуемых товаров либо по составу продавцов (поставщиков) или покупателей;

8) ограничение доступа на товарный рынок, выхода из товарного рынка или устранение с него субъектов рынка;

9) предоставление отдельным субъектам рынка льгот или других преимуществ, которые ставят их в привилегированное положение относительно конкурентов, или создание неблагоприятных или дискриминационных условий деятельности по сравнению с конкурентами;

10) прямое или косвенное принуждение субъектов рынка к приоритетному заключению договоров, к первоочередной поставке товаров определенному кругу потребителей либо первоочередному приобретению товаров у определенных продавцов (поставщиков).

11) непредоставление субъектам рынка равного доступа к мерам государственной поддержки частного предпринимательства.

3. Запрещаются соглашения между государственными, местными исполнительными органами, органами местного самоуправления, организациями, наделенными государством функциями регулирования деятельности субъектов рынка, или между ними и субъектами рынка, если такие соглашения приводят или могут привести к ограничению или устранению конкуренции, за исключением случаев, предусмотренных законами Республики Казахстан в целях защиты конституционного строя, охраны общественного порядка, прав и свобод человека, здоровья и нравственности населения, а также международными договорами, ратифицированными Республикой Казахстан.

3-1. Запрещаются при предоставлении мер государственной поддержки частного предпринимательства:

1) ограничение доступа к мерам государственной поддержки для новых субъектов рынка;

2) возложение на субъектов частного предпринимательства дополнительных обязательств, которые по своему содержанию не касаются предмета государственной поддержки;

3) взимание сборов и иных платежей, не предусмотренных законодательством Республики Казахстан;

4) координация деятельности получателей мер государственной поддержки, если это действие приведет или может привести к недопущению, ограничению или устранению конкуренции.

3-2. Введение новых мер государственной поддержки частного предпринимательства, проект нормативного правового акта, определяющего порядок оказания мер государственной поддержки частного предпринимательства, подлежат согласованию с антимонопольным органом с соблюдением требований пункта 3-1 настоящей статьи.

При согласовании антимонопольным органом введения новых мер государственной поддержки частного предпринимательства, проекта нормативного правового акта, определяющего порядок оказания мер государственной поддержки частного предпринимательства, учитываются:

1) уровень концентрации товарного рынка;

2) наличие экономических, технологических, административных барьеров входа на товарный рынок;

3) доля участия малого, среднего предпринимательства;

4) динамика появления новых субъектов рынка;

5) баланс товарного рынка, удовлетворение внутреннего спроса;

6) уровень государственного участия в предпринимательстве на соответствующем товарном рынке;

7) достижение целей, целевых индикаторов, задач и показателей развития конкуренции на товарном рынке, утвержденных документами системы государственного планирования;

8) иные документально подтвержденные обстоятельства, определяющие приоритетность мер государственной поддержки частного предпринимательства, с учетом состояния конкуренции на товарном рынке.

3-3. Положения пунктов 1, 2, 3-1 и 3-2 настоящей статьи не применяются при реализации комплекса антикризисных мероприятий для поддержки экономики, стимулирования деловой активности и занятости населения, инициированных по поручению Президента Республики Казахстан.

4. Проект заключения по результатам расследования нарушений законодательства Республики Казахстан в области защиты конкуренции в отношении Национального Банка Республики Казахстан вручается или направляется письмом с уведомлением объекту расследования в срок не менее чем за тридцать календарных дней до окончания расследования.

5. В случае несогласия с доводами, приведенными в проекте заключения по результатам расследования нарушений законодательства Республики Казахстан в области защиты конкуренции и обращения Национального Банка Республики Казахстан в срок не менее чем за двадцать календарных дней до завершения расследования, должностное лицо (должностные лица) антимонопольного органа выносит (выносят) на рассмотрение согласительной комиссии проект заключения по результатам расследования нарушений законодательства Республики Казахстан в области защиты конкуренции, в состав которой входят представители Национального Банка Республики Казахстан и антимонопольного органа.

6. Согласительная комиссия рассматривает проект внесенного заключения в срок не более пяти календарных дней со дня внесения на предмет его полноты и качества приведенных в нем доказательств фактов нарушения законодательства Республики Казахстан в области защиты конкуренции с приглашением на заседание лиц, участвующих в расследовании.

7. По результатам рассмотрения проекта заключения согласительная комиссия выносит замечания и рекомендации о наличии (отсутствии) замечаний.

В случае принятия замечаний к проекту заключения антимонопольным органом осуществляется его доработка и в срок не позднее пяти календарных дней повторно представляется на рассмотрение согласительной комиссии.

При непринятии антимонопольным органом замечаний к проекту заключения представляются обоснования причин несогласия в адрес согласительной комиссии.

Примечание ИЗПИ!
Часть четвертую пункта 7 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Решение антимонопольного органа об утверждении заключения принимается в случае отсутствия замечаний согласительной комиссии к проекту заключения и оформляется приказом антимонопольного органа в срок не более десяти календарных дней со дня завершения расследования.

8. Порядок действия согласительной комиссии и ее состав определяются антимонопольным органом по согласованию с Национальным Банком Республики Казахстан.

Сноска. Статья 194 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 195. Предупреждение нарушений законодательства Республики Казахстан в области защиты конкуренции

В целях предупреждения нарушений законодательства Республики Казахстан в области защиты конкуренции антимонопольным органом проводится:

1) анализ состояния конкуренции на товарных рынках;

2) регулирование экономической концентрации;

Примечание РЦПИ!
Подпункт 3) действовал до 01.01.2017 в соответствии с Кодексом РК от 29.10.2015 № 375-V.

3) мониторинг деятельности субъектов рынка, занимающих доминирующее или монопольное положение;

4) мониторинг цен на товарных рынках.

Сноска. Статья 195 с изменениями, внесенными законами РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 195-1. Антимонопольный комплаенс

1. Антимонопольным комплаенсом является система мер по предупреждению нарушений законодательства Республики Казахстан в области защиты конкуренции.

2. Для внедрения антимонопольного комплаенса субъект (субъекты) рынка вправе принимать акты антимонопольного комплаенса:

1) внешний акт, предусматривающий политику и правила добросовестной конкуренции субъекта (субъектов) рынка на соответствующем товарном рынке;

2) внутренний акт, предусматривающий методы, способы оценки рисков, порядок организации работ субъектом (субъектами) рынка по управлению рисками совершения нарушений законодательства Республики Казахстан в области защиты конкуренции, разрабатываемый в соответствии с методическими рекомендациями, утверждаемыми антимонопольным органом.

3. Субъект (субъекты) рынка вправе направить в антимонопольный орган проект внешнего акта антимонопольного комплаенса для установления его соответствия нормам законодательства Республики Казахстан в области защиты конкуренции, который подлежит рассмотрению в течение месяца с момента поступления проекта внешнего акта антимонопольного комплаенса.

4. Рассмотренный антимонопольным органом проект внешнего акта антимонопольного комплаенса в случае установления его соответствия нормам законодательства Республики Казахстан в области защиты конкуренции является актом разъяснения законодательства Республики Казахстан в области защиты конкуренции в отношении конкретного субъекта рынка (конкретных субъектов рынка) или применительно к конкретной ситуации.

5. Методические рекомендации по разработке и внедрению внутреннего акта антимонопольного комплаенса предусматривают:

1) этапы разработки и внедрения внутреннего акта антимонопольного комплаенса;

2) содержание мероприятий по разработке и внедрению внутреннего акта антимонопольного комплаенса;

3) метод (методы) проведения оценки антимонопольных комплаенс-рисков, связанных с деятельностью субъекта рынка;

4) построение системы внутреннего контроля антимонопольных комплаенс-рисков;

5) метод (методы) проведения оценки эффективности функционирования внутреннего акта антимонопольного комплаенса;

6) иные положения по разработке и внедрению внутреннего акта антимонопольного комплаенса.

6. Наличие у субъекта рынка эффективно функционирующего внутреннего акта антимонопольного комплаенса учитывается при рассмотрении дел о нарушениях законодательства Республики Казахстан в области защиты конкуренции.

Сноска. Кодекс дополнен статьей 195-1 в соответствии с Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); с изменениями, внесенными Законом РК от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 196. Анализ состояния конкуренции на товарных рынках

1. Анализ состояния конкуренции на товарных рынках проводится с целью определения уровня конкуренции, выявления субъектов рынка, занимающих доминирующее или монопольное положение, разработки комплекса мер, направленных на защиту и развитие конкуренции, предупреждение, ограничение и пресечение монополистической деятельности, в том числе в случаях:

1) регулирования экономической концентрации;

2) определения доли доминирования субъекта рынка при рассмотрении признаков антиконкурентных соглашений и согласованных действий, злоупотребления доминирующим или монопольным положением;

3) установления целесообразности присутствия государства в предпринимательской среде.

2. Анализ состояния конкуренции на товарных рынках проводится в соответствии с утверждаемыми антимонопольным органом методиками по проведению анализа состояния конкуренции:

1) на товарных рынках;

2) на рынках финансовых услуг – по согласованию с уполномоченным органом по регулированию, контролю и надзору финансового рынка и финансовых организаций и Национальным Банком Республики Казахстан.

3. Анализ состояния конкуренции на товарных рынках включает следующие этапы:

1) определение критериев взаимозаменяемости товаров;

2) определение границ товарного рынка;

3) определение временного интервала исследования товарного рынка;

4) определение состава субъектов рынка, действующих на товарном рынке;

5) расчет объема товарного рынка и долей субъектов рынка;

6) оценка состояния конкурентной среды на товарном рынке;

7) определение обстоятельств или признаков, свидетельствующих о наличии препятствий, затруднений либо иных ограничений деятельности субъектов рынка, влияющих на развитие конкуренции, в том числе определение барьеров входа на товарный рынок;

8) выводы по результатам проведенного анализа состояния конкуренции на товарном рынке, которые отражаются в заключении.

4. Границы товарного рынка определяют территорию, на которой потребители приобретают товар или взаимозаменяемый товар, если его приобретение нецелесообразно за пределами данной территории по экономическим, технологическим и другим причинам.

Под товаром в статьях 8, 90-6, 120, 160 – 231 настоящего Кодекса понимаются товар, работа, услуга, являющиеся объектом гражданского оборота.

Взаимозаменяемыми товарами является группа товаров, которые могут быть сравнимы по их функциональному назначению, применению, качественным и техническим характеристикам, цене, а также другим параметрам таким образом, что потребитель заменяет их друг другом в процессе потребления (производства).

5. Границы товарного рынка определяются с учетом доступности приобретения товаров по следующим критериям:

1) возможность приобретения товара на данной территории;

2) обоснованность и оправданность транспортных затрат относительно стоимости товара;

3) сохранение качества, надежности и других потребительских свойств товара при его транспортировке;

4) отсутствие ограничений (запретов) купли-продажи, ввоза и вывоза товаров;

5) наличие равных условий конкуренции на территории, в пределах которой осуществляются реализация, поставка товаров.

6. Исключен Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

7. Объем товарного рынка определяется как сумма реализации субъектами рынка товара или взаимозаменяемых товаров в пределах границ рынка в натуральных показателях или стоимостных показателях с учетом объемов ввоза и вывоза товара или взаимозаменяемых товаров.

В случае использования субъектом рынка части своей продукции для собственных нужд в объем реализации включается только объем, реализуемый на товарном рынке.

8. Доля субъекта рынка на соответствующем товарном рынке определяется как отношение объема реализации субъектом рынка товара или взаимозаменяемых товаров в пределах географических границ рынка к общему объему соответствующего товарного рынка.

9. Определение доли субъектов рынка возможно при наличии информации от субъектов, доля объема поставки которых занимает в общем объеме поставки более восьмидесяти пяти процентов.

10. Субъекты рынка, их объединения и руководители, государственные органы, местные исполнительные органы, в том числе уполномоченный орган в области государственной статистики, органы государственных доходов, их должностные лица, обязаны по требованию антимонопольного органа предоставлять достоверные документы, письменные и устные объяснения и иную информацию, в том числе составляющую коммерческую тайну, необходимые для осуществления антимонопольным органом полномочий, предусмотренных настоящим Кодексом, в срок, установленный антимонопольным органом, который не может быть менее пяти рабочих дней.

11. При регулировании экономической концентрации, а также выявлении признаков антиконкурентных соглашений и согласованных действий, злоупотребления доминирующим или монопольным положением в целях определения доли (долей) доминирования субъекта (субъектов) рынка проводится анализ состояния конкуренции на товарных рынках, не включающий этапы, предусмотренные подпунктами 6) и 7) пункта 3 настоящей статьи.

В случае, если анализ состояния конкуренции на товарных рынках при выявлении признаков злоупотребления доминирующим или монопольным положением показал, что доля субъекта рынка составляет более тридцати пяти, но менее пятидесяти процентов или присутствует совокупное доминирование субъектов рынка, анализ состояния конкуренции на товарном рынке проводится с соблюдением всех этапов, предусмотренных пунктом 3 настоящей статьи.

Анализ с целью установления целесообразности присутствия государства в предпринимательской среде проводится на основании этапов, предусмотренных подпунктами 1) и 2) пункта 3 настоящей статьи, в порядке, определяемом антимонопольным органом.

12. Анализ состояния конкуренции на товарных рынках осуществляется на основании информации, предоставляемой уполномоченным органом в сфере государственной статистики, государственными органами, субъектами рынка и их объединениями, а также информации, предоставляемой в соответствии с пунктом 9 настоящей статьи.

Субъект рынка вправе представить антимонопольному органу имеющиеся у него результаты маркетинговых исследований, которые также могут использоваться антимонопольным органом в ходе проведения анализа.

Сноска. Статья 196 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.07.2019 № 262-VI (вводится в действие с 01.01.2020); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).
Примечание РЦПИ!
Статья 197 действовала до 01.01.2017 в соответствии с Кодексом РК от 29.10.2015 № 375-V.

Статья 197. Мониторинг деятельности субъектов рынка, занимающих доминирующее или монопольное положение на регулируемых рынках

1. Целями мониторинга деятельности субъектов рынка, занимающих доминирующее или монопольное положение на регулируемых рынках, являются выявление и пресечение нарушений, связанных со злоупотреблением доминирующим или монопольным положением, за исключением нарушений, предусмотренных законодательством Республики Казахстан о естественных монополиях и регулируемых рынках.

2. Субъекты рынка, включенные в государственный реестр субъектов рынка, занимающих доминирующее или монопольное положение на регулируемых рынках, обязаны предоставлять в антимонопольный орган:

1) аудированную финансовую отчетность для субъектов рынка, подлежащих обязательному ежегодному аудиту в соответствии с законодательством Республики Казахстан об аудиторской деятельности по итогам года, – в срок до 31 августа следующего года;

2) ежеквартальную информацию о продаже или передаче в доверительное управление десяти и более процентов своих голосующих акций (долей участия в уставном капитале, паев) – в срок до пятнадцатого числа, следующего за отчетным;

3) ежеквартальную информацию по монопольным видам продукции об объемах производства и реализации, отпускных ценах и уровне доходности реализуемых монопольных товаров по форме, определяемой антимонопольным органом, – в срок до пятнадцатого числа, следующего за отчетным.

Статья 198. Предостережение о недопустимости нарушения законодательства Республики Казахстан в области защиты конкуренции

1. В целях предупреждения нарушения законодательства Республики Казахстан в области защиты конкуренции антимонопольный орган направляет должностному лицу субъекта рынка, государственного органа, местного исполнительного органа предостережение в письменной форме о недопустимости совершения действий, которые могут привести к нарушению законодательства Республики Казахстан в области защиты конкуренции.

2. Основанием для направления предостережения является публичное заявление должностного лица субъекта рынка, государственного органа, местного исполнительного органа о планируемом поведении на товарном рынке, если такое поведение может привести к нарушению законодательства Республики Казахстан в области защиты конкуренции и при этом отсутствуют основания для проведения расследования.

3. Решение о направлении предостережения принимается руководителем антимонопольного органа в срок не позднее десяти рабочих дней со дня, когда антимонопольному органу стало известно о публичном заявлении должностного лица субъекта рынка, государственного органа, местного исполнительного органа о планируемом поведении на товарном рынке.

4. Предостережение должно содержать:

1) выводы о наличии оснований для направления предостережения;

2) нормы законодательства Республики Казахстан в области защиты конкуренции, которые могут быть нарушены.

Статья 199. Уведомление о наличии в действиях (бездействии) признаков нарушения законодательства Республики Казахстан в области защиты конкуренции

Сноска. Заголовок статьи 199 в редакции Закона РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

1. При наличии признаков недобросовестной конкуренции, злоупотребления доминирующим или монопольным положением, за исключением признаков, указанных в подпункте 1) статьи 174 настоящего Кодекса, антиконкурентных согласованных действий субъектов рынка, антиконкурентных вертикальных соглашений субъектов рынка, указанных в пункте 2 статьи 169 настоящего Кодекса, а также признаков антиконкурентных действий (бездействия), соглашений государственных, местных исполнительных органов, организаций, наделенных государством функциями регулирования деятельности субъектов рынка, антимонопольный орган направляет субъекту рынка, государственному, местному исполнительному органам, организации, наделенной государством функциями регулирования деятельности субъектов рынка, уведомление о наличии в действиях (бездействии) признаков нарушения законодательства Республики Казахстан в области защиты конкуренции без проведения расследования.

Уведомление направляется в срок не позднее десяти рабочих дней со дня, когда антимонопольному органу стало известно о наличии указанных признаков.

Порядок выдачи уведомления и его форма утверждаются антимонопольным органом.

Примечание ИЗПИ!
Статью 199 предусмотрено дополнить подпунктом 1-1) в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2. Антимонопольный орган выносит решение о проведении расследования, если организацией, наделенной государством функцией регулирования деятельности субъектов рынка, государственным, местным исполнительным органами, субъектом рынка не прекращены действия (бездействие), указанные в уведомлении, в сроки, установленные пунктом 2-1 настоящей статьи.

2-1. Срок исполнения уведомления и предоставления информации о его исполнении составляет тридцать календарных дней со дня его получения организацией, наделенной государством функцией регулирования деятельности субъектов рынка, государственным, местным исполнительным органами, субъектом рынка.

В случае необходимости дополнительных временных затрат организация, наделенная государством функцией регулирования деятельности субъектов рынка, государственный, местный исполнительный органы, субъект рынка вправе не позднее трех рабочих дней до истечения срока исполнения уведомления обратиться в антимонопольный орган с заявлением о продлении срока исполнения уведомления.

В заявлении организации, наделенной государством функцией регулирования деятельности субъектов рынка, государственного, местного исполнительного органов, субъекта рынка в обязательном порядке излагаются меры, которые будут приняты по исполнению уведомления, и объективные причины продления срока исполнения уведомления.

Антимонопольный орган в течение трех рабочих дней со дня получения заявления с учетом изложенных в нем доводов принимает решение о продлении срока исполнения уведомления или об отказе в продлении с мотивированным обоснованием.

Срок продления исполнения уведомления составляет не более тридцати календарных дней.

3. Если в течение одного календарного года с момента вынесения уведомления антимонопольный орган обнаружит в действиях (бездействии) той же организации, наделенной государством функцией регулирования деятельности субъектов рынка, государственного, местного исполнительного органа, субъекта рынка признаки того же нарушения законодательства Республики Казахстан в области защиты конкуренции, перечисленного в пункте 1 настоящей статьи, антимонопольный орган выносит решение о проведении расследования без направления уведомления.

Сноска. Статья 199 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 200. Экономическая концентрация

Сноска. Заголовок статьи 200 в редакции Закона РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

1. В целях предотвращения возникновения монопольного положения и (или) ограничения конкуренции необходимо предварительное согласие антимонопольного органа на осуществление субъектами рынка сделок (действий), указанных в подпунктах 1), 2) и 3) пункта 1 статьи 201 настоящего Кодекса, либо уведомление его о сделках (действиях), указанных в подпунктах 4) и 5) пункта 1 статьи 201 настоящего Кодекса.

2. Субъекты рынка, намеревающиеся совершить либо совершившие экономическую концентрацию, обращаются в антимонопольный орган с ходатайством о даче согласия на экономическую концентрацию или уведомляют антимонопольный орган о совершенной экономической концентрации в порядке, предусмотренном настоящим Кодексом.

3. Субъекты рынка, намеревающиеся совершить экономическую концентрацию, указанную в подпунктах 4) и 5) пункта 1 статьи 201 настоящего Кодекса, вправе обратиться с ходатайством в антимонопольный орган для предварительного получения согласия в порядке, предусмотренном настоящим Кодексом.

4. В случае, если экономическая концентрация проводится с применением конкурсных процедур (аукционы, тендеры, конкурсы), ходатайство может представляться как до начала конкурсной процедуры, так и после, но не позднее тридцати календарных дней с даты объявления победителя, если иное не предусмотрено законодательством Республики Казахстан.

5. Государственная регистрация, перерегистрация субъектов рынка, прав на недвижимое имущество в случаях, предусмотренных подпунктами 1) и 3) пункта 1 статьи 201 настоящего Кодекса, осуществляются Государственной корпорацией "Правительство для граждан" с согласия антимонопольного органа.

6. Экономическая концентрация, совершенная без согласия антимонопольного органа, которая привела к установлению монопольного положения субъекта рынка или группы лиц и (или) ограничению конкуренции, может быть признана судом недействительной по иску антимонопольного органа.

Государственная регистрация, перерегистрация субъекта рынка, прав на недвижимое имущество, осуществленные в нарушение настоящей статьи, могут быть признаны в судебном порядке незаконными и отменяются по иску антимонопольного органа.

Сноска. Статья 200 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.04.2019 № 241-VI (вводится в действие с 01.07.2019).

Статья 201. Регулирование экономической концентрации

Сноска. Заголовок статьи 201 в редакции Закона РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

1. Экономической концентрацией признаются:

1) реорганизация субъекта рынка путем слияния или присоединения;

2) приобретение лицом (группой лиц) голосующих акций (долей участия в уставном капитале, паев) субъекта рынка, при котором такое лицо (группа лиц) получает право распоряжаться более чем пятьюдесятью процентами указанных акций (долей участия в уставном капитале, паев), если до приобретения такое лицо (группа лиц) не распоряжалось (не распоряжалась) акциями (долями участия в уставном капитале, паями) данного субъекта рынка или распоряжалось пятьюдесятью или менее процентами голосующих акций (долей участия в уставном капитале, паев) указанного субъекта рынка.

Данное требование не распространяется на учредителей юридического лица при его создании;

Примечание ИЗПИ!
Подпункт 3) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3) получение в собственность, владение и пользование, в том числе в счет оплаты (передачи) уставного капитала, субъектом рынка (группой лиц) основных производственных средств и (или) нематериальных активов другого субъекта рынка, если балансовая стоимость имущества, составляющего предмет сделки (взаимосвязанных сделок), превышает десять процентов балансовой стоимости основных производственных средств и нематериальных активов субъекта рынка, отчуждающего или передающего имущество;

Примечание ИЗПИ!
Подпункт 4) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4) приобретение субъектом рынка прав (в том числе на основании договора о доверительном управлении, договора о совместной деятельности, договора поручения), позволяющих давать обязательные для исполнения указания другому субъекту рынка при ведении им предпринимательской деятельности либо осуществлять функции его исполнительного органа;

5) участие одних и тех же физических лиц в исполнительных органах, советах директоров, наблюдательных советах или других органах управления двух и более субъектов рынка при условии определения указанными физическими лицами в данных субъектах условий ведения их предпринимательской деятельности.

2. Экономической концентрацией не признаются:

1) приобретение акций (долей участия в уставном капитале, паев) субъекта рынка финансовыми организациями, если это приобретение осуществляется в целях их последующей перепродажи при условии, что указанная организация не принимает участия в голосовании в органах управления субъекта рынка, а также приобретение или получение в собственность финансовыми организациями имущества, основных производственных средств и (или) нематериальных активов другого субъекта рынка с целью прекращения обязательства должника в целом или в части, если это приобретение или получение осуществляется в целях их последующей перепродажи при условии, что указанные финансовые организации не используют (не эксплуатируют) такое имущество с целью извлечения дохода в собственных целях;

2) назначение реабилитационного или банкротного управляющего, временной администрации (временного администратора);

3) осуществление сделок, указанных в пункте 1 настоящей статьи, если такая сделка происходит внутри одной группы лиц.

3. Согласие антимонопольного органа на осуществление сделок (действий), указанных в подпунктах 1), 2) и 3) пункта 1 настоящей статьи, либо его уведомление о сделках, указанных в подпунктах 4) и 5) пункта 1 настоящей статьи, требуется в случаях, если совокупная балансовая стоимость активов реорганизуемых субъектов рынка (группы лиц) или приобретателя (группы лиц), а также субъекта рынка, акции (доли участия в уставном капитале, паи) с правом голоса которого приобретаются, или их совокупный объем реализации товаров за последний финансовый год превышает десятимиллионнократный размер месячного расчетного показателя, установленный на дату подачи ходатайства (уведомления).

4. Согласие антимонопольного органа на осуществление сделок, указанных в пункте 1 настоящей статьи, не требуется, когда совершение сделок прямо предусмотрено настоящим Кодексом, законами Республики Казахстан, указами Президента Республики Казахстан и (или) постановлениями Правительства Республики Казахстан.

5. Согласие на экономическую концентрацию с участием финансовой организации требуется, если стоимость активов либо величина собственного капитала финансовой организации превышает размеры, установленные антимонопольным органом совместно с уполномоченным органом по регулированию, контролю и надзору финансового рынка и финансовых организаций.

В случае, если экономическая концентрация, указанная в пункте 1 настоящей статьи, осуществляется субъектом рынка, являющимся одновременно финансовой организацией и субъектом рынка, занимающим доминирующее или монопольное положение на соответствующем товарном рынке, такой субъект рынка руководствуется нормой, предусмотренной пунктом 3 настоящей статьи.

6. Антимонопольный орган на основании анализа соответствующих товарных рынков вправе устанавливать более высокие размеры стоимости активов и объемы реализации товаров для данных рынков, при которых необходимо согласие антимонопольного органа на осуществление сделок, указанных в настоящей статье.

7. Совокупный объем реализации товаров в соответствии с пунктом 3 настоящей статьи определяется как сумма дохода от реализации товаров за последний финансовый год, предшествовавший подаче ходатайства (уведомления), за вычетом суммы налога на добавленную стоимость и акциза.

Если субъект рынка осуществлял деятельность менее одного года, объем реализации товаров определяется за период деятельности субъекта рынка.

Примечание ИЗПИ!
В пункт 8 предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

8. В случае осуществления сделок, предусмотренных подпунктами 1), 2) и 3) пункта 1 настоящей статьи, требуется предварительное согласие антимонопольного органа.

В случае осуществления сделок, предусмотренных подпунктами 4) и 5) пункта 1 настоящей статьи, антимонопольный орган должен быть уведомлен не позднее чем через сорок пять календарных дней после даты заключения сделки.

Сноска. Статья 201 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.07.2019 № 262-VI (вводится в действие с 01.01.2020).

Статья 202. Лица, подающие ходатайство о даче согласия на экономическую концентрацию

1. В случаях, предусмотренных подпунктом 1) пункта 1 статьи 201 настоящего Кодекса, ходатайство подается в антимонопольный орган лицом, принимающим соответствующее решение, или учредителями (участниками) субъекта рынка.

2. Ходатайство о даче согласия на экономическую концентрацию, указанную в подпунктах 2) и 3) пункта 1 статьи 201 настоящего Кодекса, подается в антимонопольный орган лицом, приобретающим голосующие акции (доли участия в уставном капитале, паи), основные производственные средства, нематериальные активы или соответствующие права.

3. Если стороной сделок, указанных в подпунктах 1), 2) и 3) пункта 1 статьи 201 настоящего Кодекса, выступают несколько лиц, то ходатайство может подаваться одним лицом от имени остальных участников сделки. В ходатайстве указывается лицо, уполномоченное для представления в антимонопольном органе интересов лиц, принявших решение о совершении экономической концентрации.

Статья 203. Порядок подачи ходатайства

1. Ходатайство составляется по форме, установленной антимонопольным органом, с приложением документов и сведений, предусмотренных в статье 204 настоящего Кодекса.

Примечание ИЗПИ!
В пункт 2 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2. Сведения, указанные в ходатайстве, и документы, приложенные к ходатайству, должны быть достоверными и полными, представлены в виде оригиналов или копий оригиналов, заверенных в установленном законодательством Республики Казахстан порядке. Лицо, подписавшее ходатайство, должно письменно подтвердить достоверность и полноту представленных в ходатайстве и приложениях к нему сведений и документов.

Примечание ИЗПИ!
Пункт 3 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3. Ходатайство и приложения к нему, представляемые физическим лицом, заверяются нотариально удостоверенной подписью физического лица.

4. Представляемые документы и сведения нумеруются и представляются с указанием номеров пунктов и подпунктов статьи 204 настоящего Кодекса. На каждый вопрос пункта и подпункта представляется исчерпывающий ответ.

При невозможности предоставить полную информацию участником экономической концентрации предоставляется оценочная или прогнозная информация с указанием на то, что она является оценочной или прогнозной, а также указываются источники ее получения и использованные методы оценки и прогноза.

5. Сведения, составляющие коммерческую тайну, представляются с обязательной пометкой "коммерческая тайна".

6. Сведения и документы к ходатайству представляются за финансовый год, предшествующий году подачи ходатайства, а также за текущий период с начала года с указанием временного периода.

В случае отсутствия сведений и документов, составленных за текущий период с начала года, сведения и документы представляются за финансовый год, предшествующий году подачи ходатайства.

В случае, если субъект рынка существовал в течение срока, меньшего чем последний финансовый год, предшествовавший подаче ходатайства, сведения и документы представляются за время с начала осуществления деятельности субъекта рынка.

7. Сведения об объемах производства, реализации товаров в Республике Казахстан, объемах экспорта и импорта товаров субъекта рынка (группы лиц) представляются за два финансовых года, предшествующих году подачи ходатайства, за текущий период с начала года, а также представляется прогноз на три года, следующих за текущим периодом.

В случае, если субъект рынка осуществлял деятельность менее двух лет на момент подачи ходатайства, сведения и документы представляются за время с начала осуществления деятельности субъекта рынка.

8. В рассмотрении ходатайства о даче согласия на экономическую концентрацию вправе принимать участие третьи лица, если решение антимонопольного органа может существенно затронуть их права, охраняемые настоящим Кодексом.

Вопрос привлечения к участию в рассмотрении ходатайства о даче согласия на экономическую концентрацию третьих лиц решается антимонопольным органом, о чем уведомляется лицо, подавшее ходатайство.

Сноска. Статья 203 с изменениями, внесенными Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 204. Документация, прилагаемая к ходатайству о даче согласия на экономическую концентрацию

1. Документация, необходимая для представления в антимонопольный орган ходатайства о даче согласия на экономическую концентрацию, предусмотренную подпунктом 1) пункта 1 статьи 201 настоящего Кодекса, включает:

1) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

2) обоснование цели реорганизации субъекта рынка, включая планируемые изменения в видах деятельности или географии их деловых операций;

Примечание ИЗПИ!
Подпункт 3) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3) утвержденные устав и учредительный договор создаваемого субъекта рынка или их проекты;

4) перечень сведений и условий передачи имущества, передаваемого создаваемому субъекту рынка;

Примечание ИЗПИ!
Абзац первый подпункта 5) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5) по каждому из реорганизуемых субъектов рынка, а также каждому субъекту рынка, входящему с реорганизуемыми субъектами рынка в одну группу лиц, указываются:

для физического лица – данные документа, удостоверяющего его личность, сведения о гражданстве, а также место жительства и юридический адрес;

наименование, юридический и фактический адреса;

размер уставного капитала и доля участия в уставном капитале;

виды акций;

Примечание ИЗПИ!
Подпункт 6) предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6) список членов исполнительного органа, совета директоров (наблюдательного совета) с указанием должности, являющихся также членами исполнительного органа, совета директоров (наблюдательного совета) других субъектов рынка;

7) объем производства и реализации товаров, экспорта и импорта товаров в Республику Казахстан, производимых и реализуемых реорганизуемыми субъектами рынка;

8) объем производства и реализации, экспорта и импорта в Республику Казахстан тех же или взаимозаменяемых товаров, производимых или реализуемых субъектами рынка, входящими в одну группу лиц с реорганизуемыми субъектами рынка.

9) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

2. Перечень документов и сведений, необходимых для подачи в антимонопольный орган ходатайства о даче согласия на экономическую концентрацию, предусмотренную подпунктом 2) пункта 1 статьи 201 настоящего Кодекса:

Примечание ИЗПИ!
Подпункт 1) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1) договор или проект договора либо иной документ, подтверждающий совершение сделки;

Примечание ИЗПИ!
Абзац первый подпункта 2) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2) по приобретателю и по каждому субъекту рынка, входящему с приобретателем в одну группу лиц, указываются:

для физического лица – данные документа, удостоверяющего его личность, сведения о гражданстве, а также место жительства и юридический адрес;

наименование, юридический и фактический адреса;

размер уставного капитала и доля участия в уставном капитале;

виды акций;

Примечание ИЗПИ!
В абзац шестой подпункта 2) предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

объем производства и реализации, экспорта и импорта в Республику Казахстан товаров, аналогичных товарам или взаимозаменяемым товарам, производимым или реализуемым субъектом рынка, в отношении которого совершаются действия, предусмотренные подпунктом 2) пункта 1 статьи 201 настоящего Кодекса;

Примечание ИЗПИ!
Подпункт 3) предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3) список членов исполнительного органа, совета директоров (наблюдательного совета) с указанием должности, являющихся также членами исполнительного органа, совета директоров (наблюдательного совета) других субъектов рынка;

4) объем производства и реализации, экспорта и импорта товаров в Республику Казахстан субъекта рынка, в отношении которого совершаются действия, предусмотренные подпунктом 2) пункта 1 статьи 201 настоящего Кодекса;

Примечание ИЗПИ!
В подпункт 5) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5) объем производства и реализации, экспорта и импорта в Республику Казахстан тех же или взаимозаменяемых товаров, производимых или реализуемых субъектами рынка, находящимися под прямым или косвенным контролем субъекта рынка, в отношении которого совершаются действия, предусмотренные подпунктом 2) пункта 1 статьи 201 настоящего Кодекса.

6) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
7) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Примечание ИЗПИ!
Пункт 3 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3. Перечень документов, необходимых для подачи в антимонопольный орган ходатайства о даче согласия на экономическую концентрацию, предусмотренную подпунктом 3) пункта 1 статьи 201 настоящего Кодекса:

1) договор или проект договора;

2) по приобретателю и каждому субъекту рынка, входящему с приобретателем в одну группу лиц, указываются:

для физического лица – данные документа, удостоверяющего его личность, сведения о гражданстве, а также место жительства и юридический адрес;

наименование, юридический и фактический адреса;

размер уставного капитала и доля участия в уставном капитале;

виды акций;

объем производства и реализации, экспорта и импорта в Республику Казахстан тех же или взаимозаменяемых товаров, которые будут производиться с использованием приобретаемого имущества;

3) перечень имущества, составляющего предмет сделки, с указанием балансовой стоимости;

4) сведения о том, для выпуска каких товаров использовалось и будет использоваться получаемое имущество, с указанием видов товаров;

5) прогноз производства и реализации товаров с использованием получаемого имущества с указанием видов товаров.

6) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Примечание ИЗПИ!
Пункт 4 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4. Иностранное юридическое лицо, помимо информации, предоставляемой в соответствии с настоящей статьей, дополнительно предоставляет:

1) нотариально засвидетельствованную выписку из торгового реестра страны происхождения или иного эквивалентного документа, подтверждающего его юридический статус, в соответствии с законодательством страны его места нахождения;

2) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

3) информацию с перечислением видов товаров, производимых и (или) реализуемых в Республике Казахстан филиалом или представительством, если иностранное юридическое лицо или субъект рынка с иностранным участием – приобретатель имеет в Республике Казахстан филиал или представительство.

5. В случае, предусмотренном пунктом 3 статьи 200 настоящего Кодекса, ходатайство о даче согласия на экономическую концентрацию подается лицом, приобретающим соответствующие права, с представлением перечня документов и сведений, предусмотренных статьей 207 настоящего Кодекса.

6. Исключен Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).
Сноска. Статья 204 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 205. Сроки рассмотрения ходатайства о даче согласия на экономическую концентрацию

Примечание ИЗПИ!
В пункт 1 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1. Антимонопольный орган обязан в течение десяти календарных дней со дня получения ходатайства проверить полноту представленных материалов и в письменном виде уведомить лицо, подавшее ходатайство, о принятии или отказе в принятии ходатайства к рассмотрению.

Примечание ИЗПИ!
Пункт 2 предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2. Срок рассмотрения ходатайства о даче согласия на экономическую концентрацию не должен превышать тридцать календарных дней с момента принятия ходатайства к рассмотрению.

3. Срок рассмотрения ходатайства приостанавливается в случае невозможности рассмотрения ходатайства до принятия решения антимонопольным органом или судом по указанному или связанному с ним другому ходатайству, о чем антимонопольный орган в течение трех рабочих дней с момента принятия такого решения обязан в письменном виде уведомить лицо, подавшее ходатайство.

4. В ходе рассмотрения ходатайства антимонопольный орган вправе запросить в сроки, которые не могут быть менее пяти рабочих дней, от субъекта рынка и (или) государственного органа дополнительные сведения и (или) документы, необходимые для принятия решения.

5. На период предоставления дополнительных сведений и (или) документов, а также при проведении анализа состояния конкуренции на товарных рынках срок рассмотрения ходатайства приостанавливается, о чем антимонопольный орган в течение трех рабочих дней с момента принятия такого решения обязан в письменном виде уведомить лицо, подавшее ходатайство.

Примечание ИЗПИ!
В часть вторую пункта 5 предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Проведение анализа состояния конкуренции на товарных рынках при совершении экономической концентрации требуется в случае, если лица, участвующие в сделке (группа лиц), осуществляют деятельность по реализации аналогичных или взаимозаменяемых товаров и (или) наличии признаков ограничения конкуренции.

Примечание ИЗПИ!
В пункт 6 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6. Антимонопольный орган возобновляет рассмотрение ходатайства о даче согласия на экономическую концентрацию после представления дополнительных сведений и (или) документов субъектом рынка и (или) государственными органами, о чем обязан в течение трех рабочих дней в письменном виде уведомить лицо, подавшее ходатайство. Со дня возобновления рассмотрения ходатайства о даче согласия на экономическую концентрацию течение срока рассмотрения продолжается.

Сноска. Статья 205 с изменением, внесенным Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

Статья 206. Порядок уведомления антимонопольного органа о совершенной экономической концентрации

Примечание ИЗПИ!
В часть первую статьи 206 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Субъекты рынка, совершившие сделки, предусмотренные подпунктами 4) и 5) пункта 1 статьи 201 настоящего Кодекса, уведомляют антимонопольный орган в срок, установленный частью второй пункта 8 статьи 201 настоящего Кодекса.

Уведомление о совершенной экономической концентрации может быть передано как непосредственно в антимонопольный орган, так и через учреждения связи.

Антимонопольный орган должен быть уведомлен:

1) физическим лицом, которое входит в состав исполнительных органов, советов директоров, наблюдательных советов или других органов управления двух и более субъектов рынка, при условии определения указанным физическим лицом условий ведения их предпринимательской деятельности;

2) субъектом рынка, приобретающим права (в том числе на основании договора о доверительном управлении, договора о совместной деятельности, договора поручения), позволяющие давать обязательные для исполнения указания другому субъекту рынка при ведении им предпринимательской деятельности либо осуществлять функции его исполнительного органа.

Сноска. Статья 206 с изменениями, внесенными Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 207. Документация, прилагаемая к уведомлению (ходатайству) в антимонопольный орган о совершенной (планируемой) экономической концентрации

1. Перечень документов и сведений, необходимых для направления (подачи) уведомления (ходатайства) в антимонопольный орган о совершенной (планируемой) экономической концентрации, предусмотренной подпунктом 4) пункта 1 статьи 201 настоящего Кодекса:

Примечание ИЗПИ!
Подпункт 1) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1) копия договора (проект договора), заверенная (заверенный) юридическим лицом, либо иной документ, подтверждающий совершение (намерение совершить) сделки (сделку);

Примечание ИЗПИ!
Абзац первый подпункта 2) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

2) по приобретателю и каждому субъекту рынка, входящему с приобретателем в одну группу лиц, указываются:

для физического лица – данные документа, удостоверяющего его личность, сведения о гражданстве, а также место жительства и юридический адрес;

наименование, юридический и фактический адреса;

размер уставного капитала и доля участия;

виды акций;

Примечание ИЗПИ!
В абзац шестой предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

объем производства и реализации, экспорта и импорта в Республику Казахстан товаров, аналогичных товарам или взаимозаменяемым товарам, производимым или реализуемым субъектом рынка, в отношении которого совершаются действия, предусмотренные подпунктом 4) пункта 1 статьи 201 настоящего Кодекса;

Примечание ИЗПИ!
Подпункт 3) предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3) список членов исполнительного органа, совета директоров (наблюдательного совета) с указанием должности, являющихся также членами исполнительного органа, совета директоров (наблюдательного совета) других субъектов рынка;

4) объем производства и реализации, экспорта и импорта товаров в Республику Казахстан субъекта рынка, в отношении которого совершаются действия, предусмотренные подпунктом 4) пункта 1 статьи 201 настоящего Кодекса;

Примечание ИЗПИ!
В подпункт 5) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5) объем производства и реализации, экспорта и импорта в Республику Казахстан тех же или взаимозаменяемых товаров, производимых или реализуемых субъектами рынка, находящимися под прямым или косвенным контролем субъекта рынка, в отношении которого совершаются действия, предусмотренные подпунктом 4) пункта 1 статьи 201 настоящего Кодекса.

6) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);
7) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

2. Перечень документов и сведений, необходимых для направления (подачи) уведомления (ходатайства) в антимонопольный орган о совершенной (планируемой) экономической концентрации, предусмотренной подпунктом 5) пункта 1 статьи 201 настоящего Кодекса:

1) сведения о физическом лице, участие которого предполагается в исполнительных органах, советах директоров, наблюдательных советах и других органах управления двух и более субъектов рынка:

данные документа, удостоверяющего личность, сведения о гражданстве, месте работы, занимаемой должности, позволяющие определять условия ведения предпринимательской деятельности в данных субъектах с указанием полномочий;

перечень юридических лиц, в которых лицо, направляющее (подающее) уведомление (ходатайство), определяет условия ведения предпринимательской деятельности с указанием полномочий;

2) наименование юридического лица (группы лиц) и органа управления, в которые назначается или избирается лицо, направляющее (подающее) уведомление (ходатайство);

3) наименование должности в субъектах рынка, в исполнительные органы, советы директоров, наблюдательные советы и другие органы управления которых планируется вхождение лица, направляющего (подающего) уведомление (ходатайство);

4) перечень прав, позволяющих лицу, направляющему (подающему) уведомление (ходатайство), определять условия ведения предпринимательской деятельности в субъектах рынка, в исполнительные органы, советы директоров, наблюдательные советы и другие органы управления которых планируется вхождение данного лица;

Примечание ИЗПИ!
Абзац первый подпункта 5) предусмотрен в редакции Закона РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5) по каждому субъекту рынка и группе лиц, в которых лицо, направляющее (подающее) уведомление (ходатайство), определяет условия ведения предпринимательской деятельности, указываются:

наименование субъекта рынка, юридический и фактический адреса;

объем производства, реализации, экспорта и импорта товаров в Республику Казахстан;

Примечание ИЗПИ!
В подпункт 6) предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6) по субъекту рынка, в котором планируется участие лица, направляющего (подающего) уведомление (ходатайство), а также группе лиц, в которую входит данное лицо, указываются:

наименование субъекта рынка, юридический и фактический адреса;

объем производства, реализации, экспорта и импорта тех же или взаимозаменяемых товаров в Республику Казахстан, производимых и реализуемых субъектом рынка и группой лиц, в которых лицо, направляющее (подающее) уведомление (ходатайство), определяет условия ведения предпринимательской деятельности.

Примечание ИЗПИ!
Статью 207 предусмотрено дополнить пунктом 3 в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).
Сноска. Статья 207 с изменениями, внесенными Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 208. Решение по ходатайству о согласии на экономическую концентрацию

1. По результатам рассмотрения ходатайства о согласии на экономическую концентрацию антимонопольным органом принимается одно из следующих решений:

1) о согласии на экономическую концентрацию;

2) о запрете на экономическую концентрацию с мотивированным заключением.

2. Решение антимонопольного органа о согласии на экономическую концентрацию или запрете экономической концентрации оформляется актом антимонопольного органа и в течение трех рабочих дней со дня принятия такого решения направляется лицу, подавшему ходатайство, а в отношении финансовых организаций и уполномоченному органу по регулированию, контролю и надзору финансового рынка и финансовых организаций.

3. Согласие антимонопольного органа на экономическую концентрацию может быть обусловлено выполнением участниками экономической концентрации определенных требований и обязательств, которые устраняют или смягчают отрицательное влияние экономической концентрации на конкуренцию.

Такие условия и обязательства могут касаться, в том числе, ограничения по управлению, пользованию или распоряжению имуществом.

4. Экономическая концентрация должна быть осуществлена в течение года со дня принятия решения антимонопольным органом о предоставлении согласия на экономическую концентрацию. Если экономическая концентрация в установленный срок не осуществлена, участники экономической концентрации подают новое ходатайство о предоставлении разрешения на экономическую концентрацию.

5. Антимонопольный орган по собственной инициативе либо заявлению заинтересованного лица пересматривает свое решение о согласии или запрете на экономическую концентрацию в случаях:

1) если в течение трех лет после принятия решения стали известны обстоятельства, на основании которых в принятии данного решения должно было быть отказано;

2) если решение было принято на основании недостоверной информации, предоставленной лицом, подавшим ходатайство об осуществлении экономической концентрации, что привело к принятию незаконного решения;

3) невыполнения участниками экономической концентрации требований и обязательств, которыми было обусловлено решение антимонопольного органа.

6. По результатам пересмотра решения антимонопольный орган:

1) оставляет решение без изменений;

2) изменяет решение;

3) отменяет решение;

4) принимает новое решение.

7. В случае, если по результатам пересмотра решения антимонопольный орган принимает решение об отмене согласия на экономическую концентрацию, государственная регистрация, перерегистрация субъекта рынка, прав на недвижимое имущество признаются незаконными и отменяются в судебном порядке по иску антимонопольного органа.

8. Для рассмотрения дополнительной информации и документов, которые могут изменить ранее принятое решение антимонопольного органа, заявителем подается ходатайство в порядке, установленном настоящим Кодексом.

9. Решение антимонопольного органа по пересмотру ранее принятого решения на экономическую концентрацию оформляется актом антимонопольного органа и в течение трех рабочих дней с момента принятия такого решения направляется заинтересованному лицу.

10. Экономическая концентрация запрещается, если она приводит к ограничению конкуренции.

Сноска. Статья 208 с изменениями, внесенными Законом РК от 03.07.2019 № 262-VI (вводится в действие с 01.01.2020).

Статья 209. Принятие антимонопольным органом решения по уведомлению о совершенной экономической концентрации

1. В случае, если по истечении тридцати календарных дней после поступления в антимонопольный орган уведомления о совершенной экономической концентрации антимонопольным органом не будет направлено предписание о необходимости отмены сделки лицу, направившему уведомление, экономическая концентрация считается осуществленной.

2. В случае, если антимонопольным органом при рассмотрении уведомления о совершенной экономической концентрации будет установлено, что ее совершение привело или может привести к ограничению или устранению конкуренции, в том числе путем возникновения или усиления доминирующего положения субъекта рынка, антимонопольный орган выносит предписание о необходимости отмены сделки, которое подлежит исполнению в течение тридцати календарных дней.

3. В случае неисполнения предписания о необходимости отмены сделки антимонопольный орган обращается в суд с иском о понуждении субъекта рынка исполнить данное предписание антимонопольного органа.

Сноска. Статья 209 с изменением, внесенным Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

Статья 210. Основания прекращения рассмотрения ходатайства о согласии на экономическую концентрацию

1. Рассмотрение ходатайства о согласии на экономическую концентрацию подлежит прекращению в случаях:

1) поступления от заявителей уведомлений об отзыве ходатайства;

2) непредоставления заявителем информации в определенный антимонопольным органом срок, если отсутствие такой информации препятствует рассмотрению ходатайства;

3) предоставление заявителем недостоверной информации, влияющей на объективное рассмотрение ходатайства.

2. Решение антимонопольного органа о прекращении рассмотрения ходатайства оформляется актом антимонопольного органа и в течение трех рабочих дней с момента принятия такого решения направляется лицу, подавшему ходатайство.

3. После прекращения рассмотрения ходатайства заявитель вправе обратиться в антимонопольный орган с новым заявлением о согласии на экономическую концентрацию.

Статья 210-1. Доверенное лицо

1. Для проведения экспертной оценки выполнения требований и обязательств, предусмотренных решением антимонопольного органа о согласии на экономическую концентрацию, субъект рынка вправе привлекать доверенное лицо, определяемое в соответствии с требованиями настоящей статьи.

2. Доверенным лицом является лицо, которое обладает специальными научными или практическими знаниями по вопросам, являющимся предметом экономической концентрации.

3. Между доверенным лицом и субъектом рынка заключается договор по типовой форме, утверждаемой антимонопольным органом.

Доверенное лицо уведомляет антимонопольный орган о заключении договора не позднее десяти календарных дней после даты вступления его в силу.

4. Доверенное лицо должно быть независимым по отношению к участникам экономической концентрации.

В качестве доверенного лица не может привлекаться лицо:

1) которое является участником экономической концентрации либо входящее в одну группу лиц с участником экономической концентрации;

2) являющееся конкурентом участника экономической концентрации и (или) входящее с таким лицом в одну группу лиц либо входящее в одну группу лиц с лицом, являющимся конкурентом участника экономической концентрации.

5. Доверенное лицо дает экспертную оценку выполнению субъектом рынка экономических, поведенческих, организационных, структурных и иных требований и обязательств, в том числе касающихся:

1) разделения субъекта рынка или выделения из его состава юридического лица;

2) реализации, передачи субъектом рынка имущества, имущественных и иных прав третьим лицам;

3) разделения функций управления субъектами рынка, входящими в группу лиц, или структурными подразделениями субъекта рынка во избежание конфликта интересов;

4) производства и (или) реализации товаров, направления инвестиций, выполнения социальных, экономических и иных условий поведения на товарном рынке;

5) обеспечения недискриминационного доступа к товарам субъекта рынка;

6) принятия мер по предупреждению нарушений законодательства Республики Казахстан в области защиты конкуренции.

6. Доверенное лицо направляет антимонопольному органу экспертное заключение о выполнении субъектом рынка требований и обязательств, предусмотренных решением антимонопольного органа о согласии на экономическую концентрацию.

7. Доверенное лицо имеет право получать доступ к электронным и бумажным документам, автоматизированным базам данных (информационным системам), электронным и другим носителям информации соответствующего субъекта рынка, которые необходимы для реализации доверенным лицом своих функций, включая сведения, составляющие конфиденциальную информацию и (или) коммерческую тайну, при условии предоставления письменного обязательства о неразглашении сведений, составляющих охраняемую законом тайну.

8. Доверенное лицо вправе отказаться от представления экспертного заключения по вопросам, выходящим за пределы его специальных знаний, а также в случае, если представленные ему материалы и сведения недостаточны для представления экспертного заключения.

9. За представление заведомо ложного экспертного заключения доверенное лицо несет ответственность, установленную законами Республики Казахстан.

10. Антимонопольный орган ведет реестр доверенных лиц в порядке, определяемом антимонопольным органом.

В реестр доверенных лиц включаются кандидаты, предлагаемые объединениями субъектов предпринимательства.

11. Услуги доверенного лица оплачиваются за счет средств субъекта рынка в соответствии с договором.

Сноска. Глава 18 дополнена статьей 210-1 в соответствии с Законом РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 211. Порядок уведомления антимонопольного органа об осуществлении субъектом естественной монополии деятельности, не относящейся к регулируемым услугам (товарам, работам)

Сноска. Статья 211 исключена Законом РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 19. ВЗАИМОДЕЙСТВИЕ АНТИМОНОПОЛЬНОГО ОРГАНА С ПРАВООХРАНИТЕЛЬНЫМИ ОРГАНАМИ РЕСПУБЛИКИ КАЗАХСТАН И АНТИМОНОПОЛЬНЫМИ ОРГАНАМИ ДРУГИХ ГОСУДАРСТВ

Сноска. Глава 19 исключена Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

Глава 20. ВЫЯВЛЕНИЕ НАРУШЕНИЙ ЗАКОНОДАТЕЛЬСТВА РЕСПУБЛИКИ КАЗАХСТАН В ОБЛАСТИ ЗАЩИТЫ КОНКУРЕНЦИИ

Статья 216. Основания для начала расследования нарушения законодательства Республики Казахстан в области защиты конкуренции

1. Антимонопольный орган в пределах своих полномочий расследует нарушения законодательства Республики Казахстан в области защиты конкуренции и принимает по результатам расследования решение.

Под расследованием понимаются мероприятия антимонопольного органа, направленные на сбор фактических данных, подтверждающих или опровергающих совершение нарушения законодательства Республики Казахстан в области защиты конкуренции, в порядке, предусмотренном настоящим Кодексом.

2. Основанием для начала расследования является поступление в антимонопольный орган сведений о нарушении законодательства Республики Казахстан в области защиты конкуренции, которыми являются:

1) материалы, поступившие от государственных органов, с указанием на нарушение законодательства Республики Казахстан в области защиты конкуренции или его признаки;

2) обращение физического и (или) юридического лица, указывающее на признаки нарушения законодательства Республики Казахстан в области защиты конкуренции;

3) обнаружение антимонопольным органом при осуществлении своей деятельности в действиях субъекта рынка, государственных органов, местных исполнительных органов признаков нарушения законодательства Республики Казахстан в области защиты конкуренции;

4) сообщения средств массовой информации о наличии признаков нарушений законодательства Республики Казахстан в области защиты конкуренции, поступившие в антимонопольный орган;

5) неисполнение субъектом рынка, государственным органом, местным исполнительным органом, организацией, наделенной государством функциями регулирования деятельности субъектов рынка, уведомления антимонопольного органа о наличии в действиях (бездействии) субъекта рынка, государственного, местного исполнительного органов, организации, наделенной государством функциями регулирования деятельности субъектов рынка, признаков нарушения законодательства Республики Казахстан в области защиты конкуренции в установленный срок.

3. Начало расследования оформляется приказом о проведении расследования.

4. Копия приказа о проведении расследования не позднее трех рабочих дней со дня его подписания направляется заявителю и объекту расследования, за исключением объектов расследования, в действиях которых усматриваются признаки картеля.

Копия приказа о проведении расследования вручается объектам расследования, в действиях которых усматриваются признаки картеля в момент проведения расследования.

Примечание ИЗПИ!
Статью 216 предусмотрено дополнить пунктом 5 в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).
Сноска. Статья 216 с изменениями, внесенными законами РК от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 217. Лица, участвующие в расследовании нарушений законодательства Республики Казахстан в области защиты конкуренции

1. Лицами, участвующими в расследовании нарушений законодательства Республики Казахстан в области защиты конкуренции, являются:

1) заявитель – физическое или юридическое лицо, направившее в антимонопольный орган сведения о нарушении законодательства Республики Казахстан в области защиты конкуренции;

2) объект расследования – физическое лицо, юридическое лицо или его филиал, являющийся самостоятельным налогоплательщиком (за исключением финансовых организаций), в отношении действий которых проводится расследование. Указанные лица признаются объектом расследования с момента издания приказа о проведении расследования;

3) заинтересованные лица – физические или юридические лица, чьи права и законные интересы затрагиваются в связи с рассмотрением дела о нарушении законодательства Республики Казахстан в области защиты конкуренции;

4) должностное лицо антимонопольного органа – сотрудник антимонопольного органа, уполномоченный на проведение расследования;

5) свидетель – любое физическое лицо, которому могут быть известны какие-либо обстоятельства, имеющие значение для расследования;

6) эксперт – не заинтересованное в деле физическое лицо, обладающее специальными научными или практическими знаниями.

2. При проведении расследования лица, участвующие в деле, вправе осуществлять свои права и обязанности самостоятельно или через представителя.

3. Если в ходе расследования будет установлено, что признаки нарушения законодательства Республики Казахстан в области защиты конкуренции содержатся в действии (бездействии) не объекта расследования, а иного лица, антимонопольный орган привлекает такое лицо в качестве объекта расследования в порядке, предусмотренном статьей 216 настоящего Кодекса.

Сноска. Статья 217 с изменениями, внесенными Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 218. Проведение расследования

1. В случае наличия фактических данных, указывающих на наличие в действиях субъекта рынка, государственного органа, местного исполнительного органа, организации, наделенной государством функциями регулирования деятельности субъектов рынка, признаков нарушений законодательства Республики Казахстан в области защиты конкуренции, устанавливаемых в рамках рассмотрения сведений, предусмотренных пунктом 2 статьи 216 настоящего Кодекса, антимонопольным органом издается приказ о проведении расследования.

2. Антимонопольный орган при наличии признаков, предусмотренных:

1) пунктом 3 статьи 169, пунктом 1 статьи 170 настоящего Кодекса, до проведения расследования проводит анализ состояния конкуренции на товарных рынках с целью определения доли доминирования субъекта рынка;

2) статьей 174 настоящего Кодекса, до проведения расследования проводит анализ состояния конкуренции на товарных рынках с целью выявления доминирующего или монопольного положения субъекта рынка.

При этом меры антимонопольного реагирования в отношении данного субъекта рынка применяются за период его фактического доминирования.

3. Приказ о проведении расследования должен содержать:

1) наименование объекта или объектов расследования;

2) основания для проведения расследования нарушений законодательства Республики Казахстан в области защиты конкуренции;

3) признаки нарушения законодательства Республики Казахстан в области защиты конкуренции, которые усматриваются в действиях (бездействии) объекта расследования;

4) дату начала и окончания расследования;

4-1) предмет расследования;

4-2) проверяемый период;

5) фамилию, имя и отчество (если оно указано в документе, удостоверяющем личность) должностного лица антимонопольного органа, уполномоченного на проведение расследования;

6) права лиц, участвующих в расследовании нарушений законодательства Республики Казахстан в области защиты конкуренции.

4. Расследование нарушений законодательства Республики Казахстан в области защиты конкуренции проводится в срок, не превышающий трех месяцев со дня издания приказа о проведении расследования нарушений законодательства Республики Казахстан в области защиты конкуренции. Срок расследования может быть продлен антимонопольным органом, но не более чем на два месяца. О продлении срока издается приказ, копии приказа в течение трех рабочих дней со дня его издания направляются заявителю и объекту расследования.

5. Антимонопольный орган до начала расследования регистрирует в уполномоченном органе по правовой статистике и специальным учетам приказ о проведении расследования путем его представления территориальному подразделению уполномоченного органа по правовой статистике и специальным учетам, в том числе в электронной форме.

6. Антимонопольный орган в ходе расследования может принять решение об объединении нескольких расследований в одно или о выделении и проведении отдельного расследования.

7. Срок проведения объединенного расследования исчисляется со дня начала проведения первого по времени расследования.

Сноска. Статья 218 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 219. Доказательства при расследовании нарушения законодательства Республики Казахстан в области защиты конкуренции

1. Доказательствами фактов нарушения законодательства Республики Казахстан в области защиты конкуренции могут быть любые фактические данные, имеющие значение для правильного проведения расследования, в том числе:

1) объяснения заявителя, объекта расследования, заинтересованных лиц и свидетелей;

2) заключения экспертов;

3) вещественные доказательства;

4) иные документы (в том числе материалы, содержащие компьютерную информацию, фото– и киносъемки, звуко-, аудио- и видеозаписи).

2. Сбор доказательств осуществляет должностное лицо антимонопольного органа.

3. Лица, участвующие в расследовании нарушений законодательства Республики Казахстан в области защиты конкуренции, вправе представлять фактические данные и доказывать их достоверность.

Статья 220. Права лиц, участвующих в расследовании нарушений законодательства Республики Казахстан в области защиты конкуренции

Лица, участвующие в расследовании нарушений законодательства Республики Казахстан в области защиты конкуренции, имеют право:

1) знакомиться с материалами дела, делать выписки из них и снимать копии, за исключением материалов, содержащих конфиденциальную информацию и (или) коммерческую тайну других субъектов рынка;

2) представлять доказательства и участвовать в их исследовании;

3) задавать вопросы другим лицам, участвующим в деле;

4) заявлять ходатайства о привлечении экспертов;

5) давать пояснения в письменной или устной форме, приводить свои доводы по всем возникающим в ходе расследования вопросам;

6) знакомиться с ходатайствами других лиц, участвующих в расследовании, возражать против ходатайств, доводов других лиц, участвующих в расследовании.

Объект расследования вправе обратиться в антимонопольный орган для вынесения на рассмотрение согласительной комиссии проекта заключения по результатам расследования нарушений законодательства Республики Казахстан в области защиты конкуренции.

Сноска. Статья 220 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 221. Права должностных лиц антимонопольного органа при проведении расследования

Сноска. Заголовок с изменением, внесенным Законом РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Должностные лица антимонопольного органа при проведении расследования имеют право на:

1) беспрепятственный доступ на территорию и в помещения объекта расследования;

2) доступ к автоматизированным базам данных (информационным системам) и иным электронным носителям объекта расследования в соответствии с предметом расследования;

3) запрос в срок, установленный антимонопольным органом, от сотрудников объекта расследования необходимой информации, документов или их копий, относящихся к предмету расследования, объяснений в устном и письменном виде по вопросам, возникшим в ходе расследования;

4) привлечение при проведении расследования в качестве экспертов специалистов других государственных органов Республики Казахстан и иных лиц;

5) осмотр предметов, электронных и бумажных документов и других носителей информации, находящихся в помещении и на территории объекта расследования, в соответствии с предметом расследования;

6) снятие копии с документов, информации из базы данных (информационных систем) и иных электронных носителей объекта расследования в соответствии с предметом расследования;

7) проведение аудио-, фото- и видеофиксации:

действий (бездействия) сотрудников объекта расследования и иных лиц, находящихся на территории объекта расследования;

помещений и территории объекта расследования;

имущества, находящегося в помещении или на территории объекта расследования;

8) отбор образцов продукции для экспертизы.

Порядок отбора образцов продукции для экспертизы определяется в соответствии со статьей 149 настоящего Кодекса.

Примечание ИЗПИ!
В часть третью статьи 221 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Все права должностных лиц антимонопольного органа, предусмотренные настоящей статьей, осуществляются в период с 9.00 по 18.00 часов по местному времени и в соответствии с предметом расследования.

В случае необходимости пресечения нарушений реализация полномочий должностных лиц антимонопольного органа может проводиться во внеурочное время (ночное время, выходные или праздничные дни).

Примечание ИЗПИ!
Статью 221 предусмотрено дополнить частью пятой в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).
Сноска. Статья 221 в редакции Закона РК от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 222. Приостановление и возобновление расследования дела о нарушении законодательства Республики Казахстан в области защиты конкуренции

Сноска. Заголовок с изменением, внесенным Законом РК от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

1. Антимонопольный орган вправе приостановить расследование нарушения законодательства Республики Казахстан в области защиты конкуренции в случаях:

1) рассмотрения антимонопольным органом, судом, органами уголовного преследования другого дела, имеющего значение для расследования нарушений законодательства Республики Казахстан в области защиты конкуренции;

2) проведения другого расследования нарушений законодательства Республики Казахстан в области защиты конкуренции в отношении этого же объекта расследования;

3) проведения экспертизы;

4) необходимости проведения анализа состояния конкуренции на товарных рынках в случае, если при проведении расследования нарушений законодательства Республики Казахстан в области защиты конкуренции будет установлено, что несмотря на превышение доли в пятьдесят процентов на рынке определенного товара положение субъекта рынка на товарном рынке не является доминирующим.

1-1. Расследование нарушения законодательства Республики Казахстан в области защиты конкуренции возобновляется в течение трех рабочих дней:

1) в случаях, предусмотренных подпунктом 1) пункта 1 настоящей статьи, – со дня принятия решения антимонопольным органом, органами уголовного преследования, вступления в законную силу судебного акта по другому делу, имеющему значение для расследования нарушения законодательства Республики Казахстан в области защиты конкуренции;

2) в случае, предусмотренном подпунктом 2) пункта 1 настоящей статьи, – со дня завершения другого расследования нарушений законодательства Республики Казахстан в области защиты конкуренции в отношении этого же объекта расследования;

3) в случае, предусмотренном подпунктом 3) пункта 1 настоящей статьи, – со дня представления антимонопольному органу заключения эксперта;

4) в случаях, предусмотренных подпунктом 4) пункта 1 настоящей статьи, – со дня завершения анализа состояния конкуренции на товарном рынке.

2. Срок расследования нарушения законодательства Республики Казахстан в области защиты конкуренции прерывается при приостановлении расследования и продолжается с момента возобновления расследования.

3. О приостановлении и возобновлении расследования, а также назначении экспертизы должностные лица антимонопольного органа, уполномоченные на проведение расследования, выносят определение. Копия определения о назначении экспертизы направляется эксперту и объекту расследования в течение трех рабочих дней со дня вынесения такого определения.

Копия определения о приостановлении, возобновлении расследования нарушений законодательства Республики Казахстан в области защиты конкуренции направляется объекту расследования в течение трех рабочих дней со дня вынесения такого определения.

Сноска. Статья 222 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 223. Прекращение расследования нарушений законодательства Республики Казахстан в области защиты конкуренции

Антимонопольный орган прекращает расследование нарушений законодательства Республики Казахстан в области защиты конкуренции в случае:

1) отсутствия в действиях объекта расследования нарушений законодательства Республики Казахстан в области защиты конкуренции;

2) ликвидации юридического лица – единственного объекта расследования;

2-1) снятия с учетной регистрации филиала юридического лица – единственного объекта расследования;

3) смерти физического лица – единственного объекта расследования;

4) истечения срока давности, установленного Кодексом Республики Казахстан об административных правонарушениях;

5) наличия вступившего в законную силу судебного акта, в котором содержатся выводы о наличии или отсутствии нарушения законодательства Республики Казахстан в области защиты конкуренции в рассматриваемых антимонопольным органом действиях (бездействии).

Сноска. Статья 223 с изменениями, внесенными Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 224. Решения антимонопольного органа по результатам расследования нарушений законодательства Республики Казахстан в области защиты конкуренции

1. По результатам расследования нарушений законодательства Республики Казахстан в области защиты конкуренции должностное лицо антимонопольного органа готовит заключение, на основании которого антимонопольный орган принимает одно из следующих решений о:

1) прекращении расследования нарушения законодательства Республики Казахстан в области защиты конкуренции по основаниям, предусмотренным статьей 223 настоящего Кодекса;

2) возбуждении дела об административном правонарушении и в случаях, установленных подпунктами 1) и 2) пункта 1 статьи 226 настоящего Кодекса, вынесении предписания;

3) вынесении предписания об устранении нарушений законодательства Республики Казахстан в области защиты конкуренции;

4) передаче материалов в правоохранительные органы для производства досудебного расследования.

1-1. Проект заключения по результатам расследования нарушений законодательства Республики Казахстан в области защиты конкуренции вручается или направляется письмом с уведомлением объекту расследования в срок не менее чем за тридцать календарных дней до окончания расследования.

2. В случае обращения объекта расследования в срок не менее чем за двадцать календарных дней до завершения расследования должностное лицо (должностные лица) антимонопольного органа не позднее двадцати пяти календарных дней со дня получения такого обращения выносит (выносят) на рассмотрение согласительной комиссии проект заключения по результатам расследования нарушений законодательства Республики Казахстан в области защиты конкуренции.

Согласительная комиссия рассматривает проект внесенного заключения в срок не более пяти календарных дней со дня внесения на предмет его полноты и качества приведенных в нем доказательств фактов нарушения законодательства Республики Казахстан в области защиты конкуренции с приглашением на заседание лиц, участвующих в расследовании.

По результатам рассмотрения проекта заключения согласительная комиссия выносит свои замечания и рекомендации, которые оформляются протоколом и в течение пяти рабочих дней со дня проведения заседания согласительной комиссии направляются должностному лицу (должностным лицам) для работы.

В случае несогласия с замечаниями и рекомендациями согласительной комиссии должностное лицо (должностные лица) в течение пяти рабочих дней формирует (формируют) мотивированное заключение, которое подлежит рассмотрению согласительной комиссией в срок не более пяти рабочих дней со дня формирования мотивированного заключения должностным лицом (должностными лицами).

Примечание ИЗПИ!
Статью 224 предусмотрено дополнить пунктом 2-1 в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

3. Завершением расследования считается день подписания должностным лицом (должностными лицами) антимонопольного органа заключения по результатам расследования нарушений законодательства Республики Казахстан в области защиты конкуренции.

Примечание ИЗПИ!
Пункт 4 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

4. Утверждение заключения по результатам расследования нарушений законодательства Республики Казахстан в области защиты конкуренции оформляется приказом антимонопольного органа в срок не более десяти рабочих дней со дня завершения расследования.

Примечание ИЗПИ!
В пункт 5 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5. Копия приказа об утверждении заключения по результатам расследования не позднее трех рабочих дней со дня его подписания вручается или направляется письмом с уведомлением объекту расследования, с приложением заключения по результатам расследования. Заявитель в те же сроки информируется о принятом решении.

Примечание ИЗПИ!
Пункт 5-1 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

5-1. В случае, если по результатам расследования вынесено решение о возбуждении дела об административном правонарушении, приказ об утверждении заключения по результатам расследования вступает в силу по истечении десяти рабочих дней с момента его принятия.

Обжалование приказа об утверждении заключения по результатам расследования приостанавливает течение срока вступления его в силу до рассмотрения жалобы.

Примечание ИЗПИ!
В пункт 6 предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

6. Дата вступления в силу приказа об утверждении заключения по результатам расследования (принятия решения) считается моментом обнаружения факта совершения административного правонарушения.

Примечание ИЗПИ!
Пункт 7 предусмотрено исключить Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

7. Приказ об утверждении заключения по результатам расследования может быть обжалован объектом расследования в суд в порядке, установленном Административным процедурно-процессуальным кодексом Республики Казахстан.

Сноска. Статья 224 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 29.06.2020 № 351-VI (вводится в действие с 01.07.2021); от 03.01.2022 № 101-VII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Глава 21. ПРЕСЕЧЕНИЕ НАРУШЕНИЙ ЗАКОНОДАТЕЛЬСТВА РЕСПУБЛИКИ КАЗАХСТАН В ОБЛАСТИ ЗАЩИТЫ КОНКУРЕНЦИИ И ПЕРЕСМОТР ПРЕДПИСАНИЙ АНТИМОНОПОЛЬНОГО ОРГАНА

Статья 225. Основания и порядок определения монопольного дохода

1. Доход, полученный субъектом рынка в результате осуществления монополистической деятельности, ограниченной настоящим Кодексом, является монопольным доходом.

2. Монопольный доход может быть получен субъектом рынка в результате:

1) совершения антиконкурентного соглашения или согласованных действий субъектов рынка;

2) злоупотребления субъектом рынка своим доминирующим или монопольным положением.

3. Монопольный доход определяется с момента осуществления субъектом рынка действий, указанных в пункте 2 настоящей статьи, до момента прекращения субъектом рынка данных действий.

4. Монопольный доход определяется при:

1) установлении субъектом рынка, занимающим доминирующее или монопольное положение, монопольно высоких цен – как разница между доходом, полученным при применении монопольно высокой цены, и доходом, рассчитанным на основании цены, определенной в соответствии с положениями статьи 175 настоящего Кодекса;

2) установлении субъектом рынка, занимающим доминирующее или монопольное положение, монопольно низкой цены – как дополнительный доход, полученный субъектом рынка, занимающим доминирующее положение, в результате увеличения объемов реализации за счет устранения конкурентов с товарного рынка;

3) установлении субъектом рынка, занимающим монопсоническое положение, монопсонически низкой цены – как разница между затратами данного субъекта рынка на покупку товара по цене, определенной на основании необходимых субъекту рынка, реализующему товар, расходов на производство и реализацию такого товара и прибыли, и затратами, сложившимися при покупке товаров по монопсонически низким ценам;

4) совершении субъектом рынка антиконкурентных соглашений или согласованных действий как весь доход, полученный от данных действий, за вычетом обоснованных расходов, необходимых для производства и (или) реализации товара, и фактически уплаченных налогов.

5. Изъятие монопольного дохода производится в порядке, установленном Кодексом Республики Казахстан об административных правонарушениях.

Статья 226. Меры антимонопольного реагирования

1. В соответствии с установленными полномочиями антимонопольный орган вправе:

1) давать субъектам рынка обязательные для исполнения предписания о:

прекращении нарушения норм настоящего Кодекса и (или) устранении его последствий;

восстановлении первоначального положения;

расторжении или изменении договоров, противоречащих настоящему Кодексу;

необходимости отмены сделок путем расторжения или признания их недействительными при регулировании экономической концентрации;

2) давать государственным, местным исполнительным органам, организациям, наделенным государством функциями регулирования деятельности субъектов рынка, обязательные для исполнения предписания об отмене или изменении принятых ими актов, устранении нарушений, а также расторжении, отмене или изменении заключенных ими соглашений и сделок, противоречащих настоящему Кодексу, и совершении действий, направленных на обеспечение конкуренции;

3) рассматривать дела об административных правонарушениях в области защиты конкуренции и ограничения монополистической деятельности и налагать административные взыскания в порядке, установленном Кодексом Республики Казахстан об административных правонарушениях;

4) обращаться в суд с исками и заявлениями, а также участвовать в процессах при рассмотрении судами дел, связанных с применением и нарушением законодательства Республики Казахстан в области защиты конкуренции.

2. При нарушении норм настоящего Кодекса субъекты рынка, государственные органы, местные исполнительные органы обязаны:

1) в соответствии с предписаниями антимонопольного органа прекратить нарушение и устранить его последствия, восстановить первоначальное положение, расторгнуть договор, заключить договор с другим субъектом рынка или внести в него изменения, отменить акт, признанный антимонопольным органом не соответствующим законодательству Республики Казахстан в области защиты конкуренции, выполнить иные действия, предусмотренные предписанием;

2) возместить причиненные убытки в соответствии с гражданским законодательством Республики Казахстан;

3) исполнить постановление антимонопольного органа о наложении административного взыскания в порядке, установленном Кодексом Республики Казахстан об административных правонарушениях.

3. Предписание подлежит исполнению в установленный антимонопольным органом разумный срок.

Антимонопольный орган осуществляет контроль за исполнением выданных предписаний.

В случае неисполнения предписания антимонопольный орган вправе обратиться в суд с иском о понуждении субъекта рынка, государственного органа, местного исполнительного органа исполнить предписание антимонопольного органа.

Сноска. Статья 226 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 24.05.2018 № 156-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 227. Требования к оформлению предписания

Предписание оформляется на бланке строгой отчетности антимонопольного органа и должно содержать:

1) наименование субъекта рынка и (или) государственного органа, и (или) местного исполнительного органа, в отношении которого (которых) составляется предписание, или их должностных лиц;

2) описание установленного факта (фактов) нарушения законодательства Республики Казахстан в области защиты конкуренции, а также нормы права, которые были нарушены субъектом рынка либо государственным органом или местным исполнительным органом, или их должностными лицами;

3) действия, которые должен (должны) совершить субъект рынка и (или) государственный орган, и (или) местный исполнительный орган или их должностные лица для устранения нарушения законодательства Республики Казахстан в области защиты конкуренции (или от совершения которого (которых) должен (должны) воздержаться);

4) срок исполнения предписания;

5) срок предоставления информации об исполнении предписания;

6) подпись лица, уполномоченного подписывать предписание;

7) гербовая печать антимонопольного органа.

Статья 228. Пересмотр предписаний антимонопольного органа

1. Антимонопольный орган по собственной инициативе либо заявлению заинтересованного лица может пересмотреть предписание (свое или территориального подразделения) в случаях:

1) если существенные обстоятельства не были и не могли быть известны антимонопольному органу, что привело к вынесению незаконного или необоснованного предписания;

2) если предписание было вынесено на основании недостоверной информации, что привело к вынесению незаконного или необоснованного предписания;

3) если предписание было вынесено с нарушением норм законодательства Республики Казахстан;

4) исправления допущенной в предписании описки или явной арифметической ошибки.

Антимонопольный орган может приостановить выполнение своего предписания до окончания его пересмотра, о чем письменно уведомляются лица, принимающие участие в деле.

2. По результатам пересмотра антимонопольный орган может:

1) оставить предписание без изменений;

2) изменить предписание;

3) отменить предписание;

4) вынести новое предписание.

3. При пересмотре предписания по заявлению заинтересованного лица антимонопольный орган не вправе ухудшить положение лица, подавшего заявление (жалобу), или лица, в интересах которого она была подана.

Сноска. Статья 228 с изменением, внесенным Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

Статья 229. Проверка предписаний территориальных подразделений антимонопольного органа

Сноска. Заголовок статьи 229 с изменением, внесенным Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

Предписания, принятые территориальными подразделениями антимонопольного органа, могут быть проверены по заявлениям субъектов рынка или инициативе вышестоящего антимонопольного органа.

Сноска. Статья 229 с изменениями, внесенными Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

Статья 230. Обжалование предписаний антимонопольного органа

1. Предписания антимонопольного органа могут быть обжалованы в суд в порядке, установленном законодательством Республики Казахстан.

2. Основаниями для обжалования в антимонопольный орган предписаний территориального подразделения являются:

1) неполное выяснение обстоятельств, имеющих значение для дела;

2) недоказанность обстоятельств, имеющих значение для дела и признанных установленными;

3) несоответствие выводов, изложенных в решении, обстоятельствам дела;

4) нарушение или неправильное применение норм законодательства Республики Казахстан.

3. Предписание территориального подразделения антимонопольного органа может быть обжаловано субъектом рынка в течение трех месяцев со дня, когда оно было вручено субъекту рынка, в порядке, установленном законами Республики Казахстан.

Сноска. Статья 230 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 29.06.2020 № 351-VI (вводится в действие с 01.07.2021).

Статья 231. Принудительное разделение или выделение в случаях злоупотребления доминирующим или монопольным положением

1. В случае, если субъект рынка, занимающий доминирующее или монопольное положение, дважды в течение одного календарного года привлекался к административной ответственности за нарушения, предусмотренные статьей 174 настоящего Кодекса, и продолжает совершать действия, ограничивающие конкуренцию, антимонопольный орган в целях развития конкуренции вправе обратиться в суд с иском о принудительном разделении данного субъекта рынка или выделении из его состава на базе его структурных подразделений одного или нескольких юридических лиц.

2. Суд принимает решение о принудительном разделении или выделении в целях развития конкуренции, если выполняются в совокупности следующие условия:

1) отсутствует технологически обусловленная взаимосвязь структурных подразделений;

2) существует возможность самостоятельной деятельности на соответствующем товарном рынке для юридических лиц, созданных в результате реорганизации.

3. Решение суда о принудительном разделении либо выделении подлежит исполнению собственником или уполномоченным им органом с учетом требований, предусмотренных указанным решением, и в срок, который определен указанным решением и не может быть более чем шесть месяцев.

Сноска. Статья 231 с изменением, внесенным Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

РАЗДЕЛ 5. ОСНОВНЫЕ НАПРАВЛЕНИЯ И ВИДЫ ГОСУДАРСТВЕННОЙ ПОДДЕРЖКИ ЧАСТНОГО ПРЕДПРИНИМАТЕЛЬСТВА
Глава 22. ГОСУДАРСТВЕННАЯ ПОДДЕРЖКА МАЛОГО И СРЕДНЕГО ПРЕДПРИНИМАТЕЛЬСТВА

Статья 232. Виды государственной поддержки малого и среднего предпринимательства

Государственная поддержка малого и среднего предпринимательства осуществляется по видам государственной поддержки частного предпринимательства, предусмотренным статьей 93 настоящего Кодекса, включая:

создание условий для использования субъектами малого и среднего предпринимательства государственных финансовых, материально-технических и информационных ресурсов, а также научно-технических разработок и технологий;

установление упрощенного порядка государственной регистрации и ликвидации;

установление оптимального режима налогообложения;

принятие программ кредитования малого и среднего предпринимательства;

создание системы привлечения и использования инвестиций, в том числе иностранных, для поддержки и развития малого и среднего предпринимательства;

содействие внешнеторговой деятельности субъектов малого и среднего предпринимательства;

консультирование субъектов малого и среднего предпринимательства по вопросам участия в государственных закупках товаров, работ и услуг;

организацию подготовки, переподготовки и повышения квалификации кадров путем развития существующих и создания новых учебных и исследовательских центров, консалтинговых организаций и информационных систем поддержки и развития малого и среднего предпринимательства, а также реализацию международных программ и проектов по обмену опытом в области развития малого и среднего предпринимательства.

Сноска. Статья 232 с изменениями, внесенными Законом РК от 26.12.2018 № 202-VI (вводится в действие с 01.01.2019).

Статья 232-1. Государственная поддержка социального предпринимательства

Государственная поддержка социального предпринимательства, кроме мер государственной поддержки частного предпринимательства, предусмотренных статьей 93 настоящего Кодекса, и мер государственной поддержки малого и среднего предпринимательства, предусмотренных статьей 232 настоящего Кодекса, осуществляется в виде:

1) обеспечения наличия инфраструктуры поддержки субъектов социального предпринимательства;

2) предоставления налоговых льгот в соответствии с Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс);

3) оказания финансовой поддержки субъектам социального предпринимательства (в том числе в рамках предоставления субсидирования ставки вознаграждения по выдаваемым кредитам банками второго уровня и на оплату имущественного найма (аренды) имущества);

4) предоставления в имущественный наем (аренду) государственного имущества без права выкупа на льготных условиях в соответствии с Законом Республики Казахстан "О государственном имуществе";

5) оказания информационной поддержки субъектам социального предпринимательства;

6) оказания консультационной и методической поддержки субъектам социального предпринимательства, развития через акселерационные программы (в том числе по вопросам привлечения средств, участия в закупках товаров, работ, услуг).

Для целей настоящего Кодекса под акселерационными программами понимаются программы интенсивного развития и продвижения субъектов социального предпринимательства через обучение и экспертную поддержку;

7) содействия в развитии межрегионального сотрудничества, в поиске деловых партнеров (в том числе путем проведения деловых мероприятий, а также обеспечения участия субъектов социального предпринимательства в указанных мероприятиях);

8) организации профессионального образования и дополнительного образования;

9) предоставления государственных грантов для организации и реализации социально значимых проектов в отраслях экономики.

Сноска. Глава 20 дополнена статьей 232-1 в соответствии с Законом РК от 24.06.2021 № 52-VII (вводится в действие с 01.01.2022).

Статья 233. Бизнес-инкубаторы

1. Бизнес-инкубатором является юридическое лицо, создаваемое для поддержки субъектов малого предпринимательства на этапе их становления путем предоставления производственных помещений, оборудования, организационных, правовых, финансовых, консалтинговых и информационных услуг.

2. Бизнес-инкубаторы создаются для оказания содействия в становлении и развитии субъектов малого предпринимательства.

Задачами бизнес-инкубатора являются:

1) отбор субъектов малого предпринимательства для размещения в бизнес-инкубаторе;

2) оказание субъектам малого предпринимательства образовательных, маркетинговых, консалтинговых и других организационно-управленческих услуг.

3) государственная поддержка инновационной деятельности субъектов малого предпринимательства.

Сноска. Статья 233 с изменением, внесенным Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 234. Имущественная поддержка субъектов малого и среднего предпринимательства

1. Субъектам малого и среднего предпринимательства могут передаваться в доверительное управление или аренду не используемые более одного года объекты государственной собственности для организации производственной деятельности и сферы услуг, за исключением торгово-посреднической деятельности.

Контроль за выполнением субъектами малого и среднего предпринимательства условий договора аренды или доверительного управления осуществляют соответствующие государственные органы, уполномоченные на распоряжение республиканской и коммунальной собственностью.

2. Субъектам малого и среднего предпринимательства, за исключением субъектов, осуществляющих торгово-посредническую деятельность, могут передаваться безвозмездно в собственность объекты государственной собственности и занимаемые ими земельные участки, переданные в аренду или доверительное управление для организации производственной деятельности и развития сферы услуг населению по истечении года с момента заключения договора, в случае выполнения предусмотренных им условий в порядке, определяемом центральным уполномоченным органом по государственному планированию.

Глава 23. ГОСУДАРСТВЕННАЯ ПОДДЕРЖКА АГРОПРОМЫШЛЕННОГО КОМПЛЕКСА И НЕСЕЛЬСКОХОЗЯЙСТВЕННЫХ ВИДОВ ПРЕДПРИНИМАТЕЛЬСКОЙ ДЕЯТЕЛЬНОСТИ В СЕЛЬСКОЙ МЕСТНОСТИ

Статья 235. Государственная поддержка развития агропромышленного комплекса

1. Государственная поддержка субъектов частного предпринимательства, осуществляющих сельскохозяйственную деятельность, производится посредством:

1) развития кредитования в сфере агропромышленного комплекса и сельских территорий;

2) субсидирования агропромышленного комплекса;

3) закупа сельскохозяйственной продукции по гарантированной закупочной цене;

4) технического оснащения агропромышленного комплекса;

5) информационно-маркетингового обеспечения агропромышленного комплекса;

6) научного, нормативно-методического обеспечения и подготовки кадров для агропромышленного комплекса;

7) осуществления инвестиций в развитие социальной и инженерной инфраструктуры сельских территорий;

8) применения финансовых инструментов, поддерживающих условия для обновления основных производственных средств – парка сельскохозяйственной техники, технологического оборудования, поголовья сельскохозяйственных животных;

9) создания необходимых условий для привлечения инвестиций в сельское хозяйство;

10) поддержки экспорта продукции;

11) развития отраслевой науки и распространения агротехнологических знаний;

12) предоставления иных форм государственной поддержки.

2. Государственная поддержка субъектов частного предпринимательства, осуществляющих сельскохозяйственную деятельность и несельскохозяйственные виды предпринимательской деятельности в сельской местности, производится на республиканском и региональном уровнях и регулируется в соответствии с законами Республики Казахстан.

3. Сроки, объем и меры оказания государственной поддержки частного предпринимательства, осуществляющего сельскохозяйственную деятельность, устанавливаются в соответствии с законами Республики Казахстан.

Статья 236. Кредитование в сфере агропромышленного комплекса и сельских территорий

1. Кредитование в сфере агропромышленного комплекса и сельских территорий осуществляется посредством бюджетного кредитования в соответствии с бюджетным законодательством Республики Казахстан либо участия в формировании или увеличении уставного капитала специализированных организаций.

2. Кредитование в сфере агропромышленного комплекса и сельских территорий производится по следующим направлениям с учетом положений, предусмотренных Законом Республики Казахстан "О государственном регулировании развития агропромышленного комплекса и сельских территорий":

1) формирование и развитие инфраструктуры сельскохозяйственного производства;

2) лизинг сельскохозяйственной техники и технологического оборудования, оборудования и орудия лова для рыбного хозяйства;

3) организация и кредитование кредитных товариществ, осуществляющих кредитование в агропромышленном комплексе;

4) кредитование несельскохозяйственных видов предпринимательской деятельности в сельской местности;

5) закуп, производство, переработка и реализация сельскохозяйственной продукции;

6) искусственное разведение рыб и переработка рыбной продукции;

7) организация микрокредитования сельского населения.

Статья 237. Субсидирование агропромышленного комплекса

1. Субсидирование агропромышленного комплекса осуществляется в качестве экономического стимулирования развития отраслей агропромышленного комплекса при следующих условиях:

1) экономической эффективности субсидирования, направленного на развитие отраслей агропромышленного комплекса;

2) повышения качества и конкурентоспособности производимой продукции.

2. Субсидирование агропромышленного комплекса осуществляется по направлениям, предусмотренным Законом Республики Казахстан "О государственном регулировании развития агропромышленного комплекса и сельских территорий", в порядке, определяемом уполномоченным органом в области развития агропромышленного комплекса.

Статья 238. Реализация механизмов стабилизации цен на социально значимые продовольственные товары

1. В целях стабилизации рынка продовольственных товаров государство реализует механизмы стабилизации цен на социально значимые продовольственные товары.

2. Механизмы стабилизации цен на социально значимые продовольственные товары реализуются в соответствии с правилами реализации механизмов стабилизации цен на социально значимые продовольственные товары.

3. Перечень специализированных организаций, реализующих механизмы стабилизации цен на социально значимые продовольственные товары, утверждается Правительством Республики Казахстан.

Сноска. Статья 238 в редакции Закона РК от 02.04.2019 № 241-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 239. Информационное обеспечение агропромышленного комплекса

1. Информационно-маркетинговое обеспечение агропромышленного комплекса осуществляется посредством:

1) организации информационно-маркетинговой системы агропромышленного комплекса;

2) публикации информационных материалов в средствах массовой информации и издания специализированных сборников, журналов, тематических изданий;

3) содействия созданию и развитию современных информационно-коммуникационных технологий и информационных систем;

4) организации выставок-ярмарок и оказания рекламной поддержки продукции отечественных сельскохозяйственных товаропроизводителей;

5) организации обучающих семинаров;

6) научного, нормативно-методического обеспечения и подготовки кадров для агропромышленного комплекса;

7) развития аграрной науки и распространения научных разработок в производство.

2. Перечень информации и услуг, подлежащих предоставлению субъектам агропромышленного комплекса на безвозмездной основе специализированными организациями, определяется уполномоченным органом в области развития агропромышленного комплекса.

Статья 240. Государственная поддержка страхования в агропромышленном комплексе

Государственная поддержка страхования в агропромышленном комплексе осуществляется в порядке, установленном Законом Республики Казахстан "О государственном регулировании развития агропромышленного комплекса и сельских территорий".

Сноска. Статья 240 в редакции Закона РК от 28.10.2019 № 268-VI (вводится в действие с 06.01.2020).

Статья 241. Государственная поддержка крестьянских или фермерских хозяйств

1. Государство содействует развитию и защите отечественного крестьянского или фермерского рынка.

2. Крестьянские или фермерские хозяйства со среднегодовой численностью работников не более пятидесяти человек и общей стоимостью активов в среднем за год не свыше шестидесятитысячекратного расчетного показателя:

Примечание РЦПИ!
Порядок введения в действие подпункта 1) см. пункт 14 статьи 324 Кодекса РК от 29.10.2015 № 375-V.

1) в порядке и на условиях, предусмотренных законодательством Республики Казахстан, освобождаются от платы за присоединяемую мощность по электроэнергии, тепло-, водоснабжению и канализации с применением законодательства Республики Казахстан о естественных монополиях;

2) открывают счета в банках второго уровня с государственным участием без взимания платы;

3) ведут бухгалтерский учет и составляют финансовую отчетность в упрощенном порядке;

4) исключен Законом РК от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

5) получают информационные услуги (средства), а также научно-технические разработки и технологии на льготных условиях в пределах средств, предназначенных в государственном бюджете на соответствующий год в рамках государственной финансовой поддержки малого предпринимательства;

6) проводят подготовку, переподготовку и повышение квалификации кадров за счет средств, предусмотренных для поддержки малого предпринимательства.

3. Крестьянские или фермерские хозяйства вправе применять упрощенный либо общеустановленный порядок исчисления и уплаты отдельных видов налогов в соответствии с Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс).

4. Юридическим лицам Республики Казахстан, осуществляющим инвестиции в сельскохозяйственное производство и не пользующимся специальным налоговым режимом, могут быть предоставлены инвестиционные преференции в порядке и на условиях, предусмотренных настоящим Кодексом.

Сноска. Статья 241 с изменением, внесенным Законом РК от 28.10.2019 № 268-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 23-1. Государственная поддержка инновационной деятельности

Сноска. Закон дополнен главой 23-1 в соответствии с Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 241-1. Понятие и содержание инновационной деятельности

1. Под инновационной деятельностью понимается деятельность (включая интеллектуальную, творческую, научную, научно-техническую, технологическую, промышленно-инновационную, инфокоммуникационную, организационную, финансовую и (или) коммерческую деятельность), направленная на создание инноваций.

Инновационная деятельность предполагает наличие высокого предпринимательского риска, характеризуемого неопределенностью рыночных перспектив инновационной деятельности и возможными потерями вложенных финансовых и иных ресурсов.

2. Инновационным проектом является комплекс реализуемых в течение определенного срока времени мероприятий, осуществляемых в рамках инновационной деятельности и направленных на создание и (или) внедрение нового или усовершенствованного продукта или процесса и доведение его до потребителя.

3. Инновацией является новый или усовершенствованный результат инновационной деятельности в виде продукта (товара, работы или услуги), ставшего доступным потенциальным пользователям, или процесса, введенного в эксплуатацию, обеспечивающего конкурентоспособность и сравнительное преимущество в отличие от предыдущих продуктов или процессов.

4. Субъектами инновационной деятельности являются физические, юридические лица, простые товарищества, реализующие инновационные проекты.

5. Объектом инновационной деятельности являются все виды новшеств, которые могут быть воплощены в товарах, работах, услугах, процессах и технологиях с тем, чтобы они могли считаться новыми или усовершенствованными.

Статья 241-2. Цель, задачи и основы государственной поддержки инновационной деятельности

1. Целью государственной поддержки инновационной деятельности является создание благоприятных условий для введения в употребление нового или значительно улучшенного продукта (товара, работы или услуги), технологии или процесса, нового метода маркетинга или нового организационного метода в деловой практике, организации рабочих мест или внешних связей для повышения конкурентоспособности национальной экономики.

2. Задачами государственной поддержки инновационной деятельности являются:

1) создание благоприятных условий для выявления, воспитания, привлечения и удержания талантов и профессионального роста научных, инженерных и предпринимательских кадров;

2) создание благоприятных условий для технологической модернизации базовых отраслей национальной экономики и ее диверсификации за счет развития высокотехнологичных отраслей, повышения технологической сложности экономики, повышения восприимчивости экономики и общества к инновациям;

3) поддержка инновационной деятельности, эффективное внедрение инноваций, развитие высокотехнологичных производств, корпоративных инноваций и трансферт технологий;

4) создание условий для развития стартап-инфраструктуры и культуры венчурного инвестирования;

5) стимулирование спроса на инновации;

6) оказание содействия субъектам инновационной деятельности в коммерциализации технологий, результатов научной и (или) научно-технической деятельности, создании условий для развития наукоемкого бизнеса;

7) оказание содействия субъектам инновационной деятельности в международном сотрудничестве в области инновационной деятельности, в том числе сотрудничестве в области подготовки высококвалифицированных кадров для инновационной деятельности;

8) оказание содействия субъектам инновационной деятельности в повышении производительности труда и развитии инновационных кластеров;

9) создание благоприятных условий для реализации государственной технологической политики.

3. Государственная поддержка инновационной деятельности основывается на:

1) обеспечении субъектам инновационной деятельности равного доступа к получению государственной поддержки в соответствии с настоящим Кодексом;

2) гласности, адресности и транспарентности предоставляемых мер государственной поддержки инновационной деятельности;

3) обеспечении сбалансированности интересов государства и субъектов инновационной деятельности;

4) оптимизации мер государственной поддержки в целях успешной реализации инновационных проектов субъектов инновационной деятельности с учетом их индивидуальных особенностей;

5) комплексности и системности, обеспечивающих постоянное взаимодействие государства и субъектов инновационной деятельности;

6) оказании государственной поддержки на всех стадиях жизненного цикла инновационной деятельности за счет формирования эффективной системы коммуникаций в области науки, технологий и инноваций.

Статья 241-3. Субъекты инновационной системы, участвующие в государственной поддержке инновационной деятельности

1. К субъектам инновационной системы, участвующим в государственной поддержке инновационной деятельности, относятся национальный институт развития в области инновационного развития и иные юридические лица, пятьдесят и более процентов голосующих акций (долей участия в уставном капитале) которых прямо либо косвенно принадлежат государству, уполномоченные на реализацию мер государственной поддержки инновационной деятельности.

2. Субъекты инновационной системы, участвующие в государственной поддержке инновационной деятельности:

1) оказывают методологическую и консультационную поддержку в проведении технологического прогнозирования, реализации государственной технологической политики и развитии инновационной инфраструктуры;

2) оказывают информационно-аналитические и консультационные услуги в области развития инноваций;

3) осуществляют инвестиции в инновационные проекты путем участия в уставных капиталах субъектов инновационной деятельности, создания юридических лиц с иностранным участием, создания или участия в инвестиционных и венчурных фондах и иными способами, предусмотренными законодательством Республики Казахстан;

4) участвуют в создании, управлении и координации технологических платформ, центров коммерциализации технологий, технологических парков, бизнес-инкубаторов, акселераторов, международных центров трансферта технологий, совместных предприятий в форме центров технологического развития;

5) сотрудничают с международными организациями с целью привлечения информационных, образовательных и финансовых ресурсов для стимулирования технологического развития приоритетных секторов экономики;

6) обеспечивают доступ к информации о реализуемых инновационных проектах, внедренных технологиях, результатах проведенных аналитических исследований по технологическому прогнозированию;

7) принимают участие в реализации механизмов государственной поддержки по бизнес-инкубированию, акселерации стартапов, коммерциализации технологий и трансферту технологий, усилению кадрового, управленческого и производственного потенциала субъектов инновационной деятельности;

8) выдают экспертные заключения и (или) рекомендации государственным органам по вопросам инновационной деятельности;

9) оказывают услуги уполномоченному органу в области государственной поддержки инновационной деятельности по предоставлению инновационных грантов;

10) оказывают услуги уполномоченному органу в области государственной поддержки инновационной деятельности по реализации государственной технологической политики;

11) оказывают содействие развитию инвестиционных фондов рискового инвестирования, венчурных фондов и венчурного финансирования;

12) предоставляют услуги акселерации, бизнес-инкубирования субъектам инновационной деятельности по проведению маркетинговых и иных мероприятий, поиску потенциальных инвесторов;

13) принимают участие в информационно-пропагандистской поддержке инноваций, в том числе посредством организации проведения конкурсов среди инноваторов, рационализаторов и изобретателей;

14) могут оказывать услуги благотворительным организациям, эндаумент-фондам по проведению экспертизы, мониторинга инновационных проектов.

Сноска. Статья 241-3 с изменениями, внесенными Законом РК от 14.07.2022 № 141-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 241-4. Государственная технологическая политика

1. Государственная технологическая политика представляет собой систему экономических, организационных и правовых мер, осуществляемых государством и (или) субъектами инновационной деятельности, направленных на определение технологических приоритетов, развитие инфраструктуры и компетенций по их реализации, включая создание технологических платформ, отраслевых центров технологических компетенций, реализацию целевых технологических программ, в целях повышения уровня технологического развития национальной экономики, ее секторов и субъектов частного предпринимательства.

2. В целях формирования и реализации государственной технологической политики функционирует Совет по технологической политике, являющийся консультативно-совещательным органом, возглавляемым Премьер-Министром Республики Казахстан.

Основными задачами Совета по технологической политике являются:

1) определение приоритетов технологического развития и основных направлений государственной технологической политики;

2) выработка рекомендаций для государственных органов по вопросам инновационного и технологического развития страны;

3) согласование предложений по совершенствованию инновационной системы и деятельности субъектов инновационной системы, участвующих в государственной поддержке инновационной деятельности;

4) рассмотрение вырабатываемой государственной технологической политики по отраслевым направлениям;

5) рассмотрение инициатив государственных органов по определению отраслевых центров технологических компетенций, целевых технологических программ и организации технологических платформ в отраслях.

Статья 241-5. Инструменты формирования и реализации государственной технологической политики

1. Для формирования и реализации государственной технологической политики создаются технологические платформы.

Технологическая платформа является комплексом, состоящим из взаимосвязанных и взаимодополняющих элементов образовательной, научной и промышленно-инновационной инфраструктуры, субъектов научной, научно-технической, инновационной и промышленной деятельности, необходимой для обеспечения непрерывного процесса генерации и совершенствования технологий, подготовки кадров, реализации инновационных проектов.

Технологическая платформа также выполняет функцию инструмента для коммуникации и рыночно-ориентированной координации субъектов частного предпринимательства, научных организаций, организаций образования, государственных органов, организаций квазигосударственного сектора в целях технологического развития отраслей экономики.

2. В целях выработки государственной технологической политики соответствующей отрасли или технологического направления и обеспечения ее преемственности государственные органы определяют отраслевые центры технологических компетенций.

Основными задачами отраслевых центров технологических компетенций являются мониторинг мировых технологических трендов, определение текущих условий и конкурентных преимуществ для ускоренного технологического развития, а также потребностей и заинтересованности субъектов частного предпринимательства.

Иные критерии к отраслевым центрам технологических компетенций определяются в соответствии с методикой и критериями осуществления технологического прогнозирования, функционирования отраслевых центров технологических компетенций, организации технологических платформ и разработки целевых технологических программ.

3. Для формирования технологической политики проводится технологическое прогнозирование.

Под технологическим прогнозированием понимается комплекс аналитических исследований, направленных на выявление ключевых (приоритетных) технологий, освоение которых является необходимым условием для устойчивого инновационного развития государства.

Технологическое прогнозирование проводится с участием отраслевых центров технологических компетенций в соответствующих отраслях при взаимодействии с технологическими платформами путем привлечения иностранных и отечественных экспертов, проведения опросов и аналитических исследований, обобщения полученных данных и формирования рекомендаций.

Итоги технологического прогнозирования учитываются при формировании государственной технологической политики и определении приоритетных направлений предоставления инновационных грантов.

4. Для реализации технологической политики разрабатываются и утверждаются целевые технологические программы.

Под целевой технологической программой понимается комплекс мер по развитию ключевых (приоритетных) технологий и решению технологических задач отрасли, основанных на взаимодействии государства, субъектов предпринимательства и науки.

Целевые технологические программы разрабатываются участниками технологических платформ.

Инновационные проекты, реализуемые в рамках целевых технологических программ, имеют приоритетное преимущество при предоставлении инновационных грантов и других мер государственной поддержки инновационной деятельности.

5. Технологическое прогнозирование и разработка целевых технологических программ осуществляются в соответствии с методикой и критериями осуществления технологического прогнозирования, функционирования отраслевых центров технологических компетенций, организации технологических платформ и разработки целевых технологических программ.

Статья 241-6. Инструменты стимулирования инновационной активности и анализа инновационной системы

1. Инструментами стимулирования инновационной активности являются информационно-пропагандистская поддержка инноваций и распространение знаний, в том числе путем коммерциализации технологий.

Содействие (поддержка) коммерциализации технологий осуществляется путем:

1) организации и (или) проведения мероприятий, направленных на формирование и развитие компетенций в сфере технологического предпринимательства;

2) формирования и развития системы поиска технологий, их идентификации и оказания содействия в их продвижении на рынок;

3) иными способами, предусмотренными законодательством Республики Казахстан.

2. Инструментом анализа инновационной системы является оценка эффективности реализации мер государственной поддержки инновационной деятельности, осуществляемой государственными органами, местными исполнительными органами, национальным институтом развития в области инновационного развития и иными юридическими лицами, уполномоченными на реализацию мер государственной поддержки инновационной деятельности, реализацию технологических политик и целевых технологических программ.

Независимый анализ эффективности инновационной системы с выработкой рекомендаций осуществляется инновационной обсерваторией, определяемой Правительством Республики Казахстан.

Методика оценки эффективности реализации мер государственной поддержки инновационной деятельности утверждается уполномоченным органом в области государственной поддержки инновационной деятельности.

Оценка эффективности реализации мер государственной поддержки инновационной деятельности по предоставлению инновационных грантов осуществляется с учетом таких особенностей инновационной деятельности, как высокий предпринимательский риск, характеризуемый неопределенностью рыночных перспектив инновационной деятельности и возможными потерями вложенных финансовых и иных ресурсов.

Статья 241-7. Меры государственной поддержки инновационной деятельности

1. Меры государственной поддержки инновационной деятельности определяются настоящим Кодексом с учетом особенностей, определенных законами Республики Казахстан.

2. К мерам государственной поддержки инновационной деятельности относятся:

1) софинансирование венчурных фондов;

2) предоставление инновационных грантов.

3. Государственная поддержка инновационной деятельности определяется в соответствии с настоящим Кодексом, Законом Республики Казахстан "О промышленной политике" и иным законодательством Республики Казахстан.

Статья 241-8. Софинансирование венчурных фондов и частных венчурных инвесторов

1. Софинансирование венчурных фондов и частных венчурных инвесторов осуществляется субъектами инновационной системы, участвующими в государственной поддержке инновационной деятельности.

2. Под венчурным финансированием понимается деятельность, связанная с финансированием лиц, осуществляющих только инновационную деятельность, путем осуществления инвестиций в их уставные капиталы, приобретения выпущенных ими финансовых инструментов или предоставления им денежных займов.

3. Частным венчурным инвестором является физическое лицо, осуществляющее венчурное финансирование стартап-компаний и обеспечивающее им экспертную поддержку по желанию.

Статья 241-9. Предоставление инновационных грантов

1. Под инновационным грантом понимаются бюджетные средства, предоставляемые субъектам инновационной деятельности на безвозмездной основе для реализации их инновационных проектов в рамках приоритетных направлений предоставления инновационных грантов.

Предоставление инновационных грантов осуществляется уполномоченным органом в области государственной поддержки инновационной деятельности с привлечением национального института развития в области инновационного развития.

Конкурс на предоставление инновационных грантов может проводиться по отдельным приоритетным направлениям совместно с инфраструктурой поддержки частного предпринимательства и (или) субъектами инновационной системы, участвующими в государственной поддержке инновационной деятельности.

2. Инновационные гранты предоставляются субъектам инновационной деятельности путем софинансирования реализации инновационных проектов.

3. Инновационные гранты предоставляются на:

1) коммерциализацию технологий;

2) технологическое развитие действующих предприятий;

3) технологическое развитие отраслей.

4. При предоставлении инновационных грантов проводится экспертиза в соответствии с правилами предоставления инновационных грантов.

Правилами предоставления инновационных грантов устанавливаются критерии, предъявляемые при предоставлении инновационных грантов.

5. Национальный институт развития в области инновационного развития ведет мониторинг предоставленных инновационных грантов с целью анализа достижения запланированных целей по инновационным проектам, по которым были предоставлены инновационные гранты.

6. Национальным институтом развития в области инновационного развития открывается текущий счет в банке второго уровня – резиденте Республики Казахстан для осуществления управления средствами, выделенными на предоставление инновационных грантов, на основе договора, заключаемого между уполномоченным органом в области государственной поддержки инновационной деятельности и национальным институтом развития в области инновационного развития.

Остатки средств на текущем счете, числящиеся на конец финансового года, не подлежат возврату уполномоченному органу в области государственной поддержки инновационной деятельности и, соответственно, в государственный бюджет, а расходуются на предоставление инновационных грантов в следующем финансовом году. Общий объем денег, предназначенных для предоставления инновационных грантов, распределяется между всеми инновационными грантами.

Глава 24. Государственное стимулирование промышленности

Сноска. Заголовок главы 24 – в редакции Закона РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Параграф 1. Индустриально-инновационная деятельность

Сноска. Параграф 1 исключен Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Параграф 2. Индустриально-инновационная система Республики Казахстан

Статья 245. Цели формирования индустриально-инновационной системы Республики Казахстан

Сноска. Статья 245 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 246. Субъекты индустриально-инновационной системы, участвующие в государственной поддержке индустриально-инновационной деятельности

Сноска. Статья 246 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 247. Индустриально-инновационная инфраструктура

Сноска. Статья 247 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 248. Специальные экономические зоны

Сноска. Статья 248 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 249. Индустриальные зоны

Сноска. Статья 249 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 250. Технологический парк

Сноска. Статья 250 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие с 01.07.2022).

Статья 251. Акционерные инвестиционные фонды

Сноска. Статья 251 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 251-1. Венчурные фонды, частные венчурные инвесторы и венчурное финансирование

Сноска. Статья 251-1 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 252. Центр коммерциализации технологий

Сноска. Статья 252 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 253. Конструкторское бюро

Сноска. Статья 253 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 254. Международные центры трансферта технологий

Сноска. Статья 254 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 255. Инновационный кластер

Сноска. Статья 255 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 256. Инструменты индустриально-инновационной системы

Сноска. Статья 256 исключена Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Параграф 3. Государственная поддержка субъектов индустриально-инновационной деятельности

Сноска. Параграф 3 исключен Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 272-1. Государственное стимулирование промышленности

1. Государственное стимулирование промышленности осуществляется в соответствии с настоящим Кодексом и Законом Республики Казахстан "О промышленной политике".

2. Законом Республики Казахстан "О промышленной политике" предусматриваются меры государственного стимулирования промышленности, преимущественно направленные на развитие в стране обрабатывающей промышленности, а также условия их оказания.

Сноска. Глава 24 дополнена статьей 272-1 в соответствии с законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 272-2. Промышленная политика

1. Государственное стимулирование промышленности осуществляется посредством предоставления мер государственного стимулирования промышленности при реализации промышленной политики в соответствии с Законом Республики Казахстан "О промышленной политике".

2. Приоритеты и направления промышленной политики определяются документами Системы государственного планирования в Республике Казахстан.

3. Законом Республики Казахстан "О промышленной политике" устанавливаются цель, задачи и принципы промышленной политики, процедуры и механизмы ее формирования и реализации.

Сноска. Глава 24 дополнена статьей 272-2 в соответствии с законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 272-3. Направления реализации промышленной политики

Промышленная политика в Республике Казахстан реализуется в соответствии с Законом Республики Казахстан "О промышленной политике" по следующим направлениям:

1) базовые условия развития промышленности;

2) продвижение на рынки сбыта;

3) повышение эффективности и конкурентоспособности промышленности.

Сноска. Глава 24 дополнена статьей 272-3 в соответствии с законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 272-4. Индустриально-инновационная деятельность

Сноска. Статья 272-4 действовала до 01.07.2022 в соответствии с Законом РК от 27.12.2021 № 87-VII.

Глава 25. ГОСУДАРСТВЕННАЯ ПОДДЕРЖКА ИНВЕСТИЦИОННОЙ ДЕЯТЕЛЬНОСТИ
Параграф 1. Правовой режим инвестиций

Статья 273. Инвестиционные отношения

1. Регулирование отношений, связанных с инвестициями в Республике Казахстан, и определение правовых и экономических основ стимулирования инвестиций, гарантирование защиты прав инвесторов при осуществлении инвестиций в Республике Казахстан, определение мер государственной поддержки инвестиций, порядка разрешения споров с участием инвесторов осуществляются настоящим Кодексом.

2. Настоящим Кодексом не регулируются отношения, связанные с:

осуществлением инвестиций из средств государственного бюджета;

вложением капитала в некоммерческие организации, в том числе для образовательных, благотворительных, научных или религиозных целей.

3. К отношениям, возникающим при осуществлении инвестиций и относящимся к сфере действия иных законов Республики Казахстан, положения настоящей главы применяются в части, не противоречащей таким законам.

4. Отношения, связанные с привлечением инвестором иностранной рабочей силы по заключенному инвестиционному контракту, регулируются законодательством Республики Казахстан о миграции населения.

Сноска. Статья 273 с изменением, внесенным Законом РК от 20.04.2023 № 226-VII (вводится в действие с 01.07.2023).

Статья 274. Понятия инвестиции, инвестор, крупный инвестор и инвестиционная деятельность

1. Инвестициями являются все виды имущества (кроме товаров, предназначенных для личного потребления), включая предметы финансового лизинга с момента заключения договора лизинга, а также права на них, вкладываемые инвестором в уставный капитал юридического лица или увеличение фиксированных активов, используемых для предпринимательской деятельности, а также для реализации проекта государственно-частного партнерства, в том числе концессионного проекта.

2. Под инвестором понимаются физические и юридические лица, осуществляющие инвестиции в Республике Казахстан.

3. Деятельность физических и юридических лиц по участию в уставном капитале коммерческих организаций либо созданию или увеличению фиксированных активов, используемых для предпринимательской деятельности, а также для реализации проекта государственно-частного партнерства, в том числе концессионного проекта, признается инвестиционной деятельностью.

4. Под крупным инвестором понимается физическое или юридическое лицо, осуществляющее инвестиции в Республике Казахстан в размере не менее двухмиллионнократного размера месячного расчетного показателя.

Статья 275. Объекты инвестиционной деятельности

1. Инвесторы имеют право осуществлять инвестиции в любые объекты и виды предпринимательской деятельности, кроме случаев, предусмотренных законами Республики Казахстан.

Права и обязанности инвесторов в отношении объектов и видов предпринимательской деятельности, в которые осуществляются инвестиции, устанавливаются настоящим Кодексом, иными законами Республики Казахстан и соответствующими договорами.

2. Законами Республики Казахстан исходя из необходимости обеспечения национальной безопасности могут определяться виды деятельности и (или) территории, в отношении которых инвестиционная деятельность ограничивается или запрещается.

Статья 276. Гарантия правовой защиты деятельности инвесторов на территории Республики Казахстан

1. Инвестору предоставляется полная и безусловная защита прав и интересов, которая обеспечивается Конституцией Республики Казахстан, настоящим Кодексом и иными нормативными правовыми актами Республики Казахстан, а также международными договорами, ратифицированными Республикой Казахстан.

2. Инвестор имеет право на возмещение вреда, причиненного ему в результате издания государственными органами актов, не соответствующих законам Республики Казахстан, а также незаконных действий (бездействия) должностных лиц этих органов, в соответствии с гражданским законодательством Республики Казахстан.

3. Республика Казахстан гарантирует стабильность условий договоров, заключенных между инвесторами и государственными органами Республики Казахстан, за исключением случаев, когда изменения в договоры вносятся по соглашению сторон.

Настоящие гарантии не распространяются на:

1) изменения в законодательстве Республики Казахстан и (или) вступление в силу и (или) изменения международных договоров Республики Казахстан, которыми изменяются порядок и условия импорта, производства, реализации подакцизных товаров;

2) изменения и дополнения, которые вносятся в законы Республики Казахстан в целях обеспечения национальной безопасности, общественного порядка, охраны здоровья и нравственности населения.

Статья 277. Гарантии использования доходов

Инвесторы вправе:

1) по своему усмотрению использовать доходы, полученные от своей деятельности, после уплаты налогов и других обязательных платежей в бюджет, в соответствии с законодательством Республики Казахстан;

2) открывать в банках на территории Республики Казахстан банковские счета в национальной валюте и (или) иностранной валюте в соответствии c банковским и валютным законодательством Республики Казахстан.

Статья 278. Гласность деятельности государственных органов в отношении инвесторов и обеспечение доступа инвесторов к информации, связанной с осуществлением инвестиционной деятельности

1. Официальные сообщения государственных органов Республики Казахстан и нормативные правовые акты, затрагивающие интересы инвесторов, публикуются в порядке, установленном законодательством Республики Казахстан.

2. Инвесторам, включая инвесторов, осуществивших инвестиции в размере менее десяти процентов от голосующих акций (менее десяти процентов голосов от общего количества голосов участников), обеспечивается свободный доступ к информации о регистрации юридических лиц, их уставах, регистрации сделок с недвижимостью, выданных лицензиях, а также к иной предусмотренной законами Республики Казахстан информации, которая связана с осуществлением ими инвестиционной деятельности и не содержит коммерческой и иной охраняемой законом тайны.

Статья 279. Гарантии прав инвесторов при национализации и реквизиции

1. Принудительное изъятие имущества инвестора (национализация, реквизиция) для государственных нужд допускается в исключительных случаях, предусмотренных законами Республики Казахстан.

2. При национализации инвестору возмещаются Республикой Казахстан в полном объеме убытки, причиненные ему в результате издания законодательных актов Республики Казахстан о национализации.

3. Реквизиция имущества инвестора осуществляется с выплатой ему рыночной стоимости имущества.

Рыночная стоимость имущества определяется в порядке, установленном законодательством Республики Казахстан.

4. Оценка, по которой собственнику была возмещена стоимость реквизированного имущества, может быть оспорена им в судебном порядке.

5. При прекращении действия обстоятельств, в связи с которыми произведена реквизиция, инвестор вправе требовать возврата сохранившегося имущества, но при этом обязан возвратить полученную им сумму компенсации с учетом потерь от снижения стоимости имущества.

Статья 280. Переход прав инвестора к другому лицу

Если иностранное государство или уполномоченный им государственный орган производит платежи в пользу инвестора по гарантии (договору страхования), предоставленной ему в отношении инвестиций, осуществленных на территории Республики Казахстан, и к этому иностранному государству либо уполномоченному им государственному органу переходят права (уступаются требования) инвестора на указанные инвестиции, то в Республике Казахстан такой переход прав (уступка требования) признается правомерным только в случае осуществления инвестором инвестиций в Республике Казахстан и (или) выполнения им определенных договорных обязательств.

Параграф 2. Государственная поддержка инвестиций

Статья 281. Цель государственной поддержки инвестиций

1. Целью государственной поддержки инвестиций являются создание благоприятного инвестиционного климата для развития экономики и стимулирование инвестиций в создание новых, расширение и обновление действующих производств с применением современных технологий, повышение квалификации казахстанских кадров, а также охрана окружающей среды.

2. Государственная поддержка инвестиций заключается в предоставлении государственных преференций в виде предоставления инвестиционных преференций и (или) предоставления гарантии стабильности при изменении налогового законодательства Республики Казахстан в соответствии с Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс).

Виды, условия и порядок предоставления государственных преференций по соглашениям о переработке твердых полезных ископаемых определяются Кодексом Республики Казахстан "О недрах и недропользовании".

Сноска. Статья 281 с изменениями, внесенными законами РК от 27.12.2017 № 126-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования); от 27.12.2021 № 87-VII (вводятся в действие с 01.01.2022).

Статья 282. Уполномоченный орган по инвестициям

1. Государственная поддержка инвестиций осуществляется уполномоченным органом по инвестициям, определяемым Правительством Республики Казахстан, по заключению инвестиционных контрактов и контролю за их исполнением, за исключением специальных инвестиционных контрактов.

2. Уполномоченный орган по инвестициям в пределах своей компетенции и в целях выполнения возложенных на него задач имеет право в порядке, установленном Правительством Республики Казахстан, привлекать специалистов соответствующих государственных органов, консультантов и экспертов из числа физических и юридических лиц Республики Казахстан.

3. Уполномоченный орган по инвестициям осуществляет координацию и мониторинг деятельности по сопровождению инвесторов по принципу "одного окна" для инвесторов, осуществляемой национальной компанией в области привлечения инвестиций и ее региональными представителями и представительствами, региональными организациями в области привлечения инвестиций.

4. Исключен Законом РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
5. Исключен Законом РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
6. Исключен Законом РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

7. Уполномоченный орган по инвестициям выдает ходатайства на получение инвесторской визы для лиц, являющихся нерезидентами Республики Казахстан и осуществляющих инвестиционную деятельность на территории Республики Казахстан в порядке, определяемом уполномоченным органом по инвестициям.

8. Уполномоченный орган по инвестициям оказывает содействие инвесторам в обеспечении гарантированного заказа со стороны заинтересованных юридических лиц в соответствии с инвестиционным контрактом, заключаемым между уполномоченным органом по инвестициям и инвестором.

8-1. Уполномоченный орган по инвестициям разрабатывает и утверждает порядок определения проекта инвестиционным для предоставления земельных участков из государственной собственности.

Порядок, предусмотренный частью первой настоящего пункта, должен, помимо прочего, предусматривать процедуру согласования предоставления земельного участка с соответствующим региональным координационным советом.

9. Деятельность уполномоченного органа по инвестициям регулируется положением, утверждаемым Правительством Республики Казахстан.

Сноска. Статья 282 с изменениями, внесенными законами РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 25.11.2019 № 272-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.06.2021 № 59-VII (вводится в действие с 01.01.2022).

Статья 282-1. Принцип "одного окна" для инвесторов

1. Под принципом "одного окна" для инвесторов понимается централизованная форма оказания содействия инвесторам со стороны национальной компании в области привлечения инвестиций и ее региональных представителей и представительств, региональных организаций в области привлечения инвестиций в получении государственных услуг, а также других услуг, оказываемых иными организациями, предусматривающая минимизацию участия инвесторов в сборе и подготовке документов и ограничение их непосредственного контакта с государственными органами.

2. Правила организации "одного окна" для инвесторов, а также порядок взаимодействия при привлечении инвестиций утверждаются уполномоченным органом по инвестициям и определяют размеры инвестиций в конкретных отраслях экономики для получения услуги по принципу "одного окна", а также порядок:

1) организации сопровождения инвестора по принципу "одного окна" национальной компанией в области привлечения инвестиций и ее региональных представителей и представительств, региональными организациями в области привлечения инвестиций в целях реализации инвестиционных проектов в Республике Казахстан;

2) взаимодействия уполномоченного органа по инвестициям с национальной компанией в области привлечения инвестиций и ее региональными представителями и представительствами, региональными организациями в области привлечения инвестиций по вопросу организации сопровождения инвестиционных проектов для привлечения инвестиций на центральном и региональном уровнях;

3) взаимодействия национальной компании в области привлечения инвестиций и ее региональных представителей и представительств, региональных организаций в области привлечения инвестиций с загранучреждениями, государственными органами, местными исполнительными органами, организациями, а также иными негосударственными организациями по вопросам привлечения инвестиций;

4) мониторинга процесса оказания государственных и других услуг, оказываемых государственными органами и иными организациями для осуществления инвестиционной деятельности инвесторов, а также мониторинга сопровождения инвестиционных проектов для привлечения инвестиций.

Уполномоченный орган по инвестициям совместным приказом с государственными органами, ответственными за оказание государственных и других услуг, определяет ответственных лиц для взаимодействия в рамках оказания данных услуг инвесторам и сопровождения их в государственных органах и иных организациях.

3. Национальная компания в области привлечения инвестиций и ее региональные представители и представительства, региональные организации в области привлечения инвестиций в рамках "одного окна" для инвесторов вправе ходатайствовать перед центральными и местными исполнительными органами, а также иными организациями о рассмотрении обращения инвестора и вносить документы инвесторов в государственные органы и иные организации в части получения государственных и других услуг.

Сноска. Параграф 2 дополнен статьей 282-1 в соответствии с Законом РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); с изменением, внесенным Законом РК от 19.04.2023 № 223-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 282-2. Национальная компания в области привлечения инвестиций и ее региональные представители и представительства

1. Национальная компания в области привлечения инвестиций определяется решением Правительства Республики Казахстан.

2. Национальная компания в области привлечения инвестиций и ее региональные представители и представительства:

1) проводят аналитические исследования по улучшению инвестиционной привлекательности Республики Казахстан;

2) обеспечивают сопровождение деятельности инвесторов, в том числе организовывают встречи инвесторов с должностными лицами государственных органов, субъектами промышленно-инновационной деятельности, а также объединениями субъектов частного предпринимательства, проводят бизнес-форумы, конференции и семинары по инвестиционной тематике, формируют и ведут базу данных действующих и перспективных инвесторов, оказывают содействие инвесторам в решении возникающих вопросов;

3) продвигают благоприятный инвестиционный имидж Республики Казахстан, в том числе предоставляют информацию об инвестиционных возможностях;

4) проводят мониторинг реализации официальных договоренностей, достигнутых по итогам переговоров с инвесторами;

5) проводят мониторинг промышленно-инновационных проектов, реализуемых с участием инвесторов;

6) взаимодействуют с инвесторами по принципу "одного окна" в части сопровождения инвесторов в получении государственных услуг, а также других услуг, оказываемых иными организациями;

7) проводят работу по привлечению инвесторов в производство промышленной продукции, в том числе согласно перечню приоритетных товаров.

Сноска. Параграф 2 дополнен статьей 282-2 в соответствии с Законом РК от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 283. Понятие и виды инвестиционных преференций

1. Инвестиционными преференциями являются преимущества адресного характера, предоставляемые в соответствии с законодательством Республики Казахстан юридическим лицам Республики Казахстан, осуществляющим реализацию инвестиционного проекта, и лизинговым компаниям, импортирующим в рамках реализации инвестиционного проекта технологическое оборудование на основании договора финансового лизинга для юридического лица Республики Казахстан, реализующего инвестиционный проект.

Юридическое лицо Республики Казахстан – юридическое лицо, в том числе юридическое лицо с иностранным участием, созданное в порядке, установленном законодательством Республики Казахстан.

2. По инвестиционному проекту (в том числе инвестиционному приоритетному проекту) предоставляются следующие виды инвестиционных преференций:

1) освобождение от обложения таможенными пошлинами и налогом на добавленную стоимость на импорт;

2) государственные натурные гранты.

3. По инвестиционному приоритетному проекту предоставляются преференции по налогам (далее – инвестиционные преференции для инвестиционного приоритетного проекта).

4. Исключен Законом РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018).

5. По специальному инвестиционному проекту в виде инвестиционных преференций (далее – инвестиционные преференции для специального инвестиционного проекта) предоставляется освобождение от обложения:

ввозными таможенными пошлинами;

налогами в соответствии с налоговым законодательством Республики Казахстан.

Сноска. Статья 283 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018); от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
Примечание ИЗПИ!
В статью 284 предусмотрены изменения Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

Статья 284. Инвестиционный проект

Инвестиционный проект представляет собой комплекс мероприятий, предусматривающих инвестиции в создание новых, расширение и (или) обновление действующих производств, включая производства, созданные, расширенные и (или) обновленные в ходе реализации проекта государственно-частного партнерства, в том числе концессионного проекта.

Под инвестиционным приоритетным проектом понимается инвестиционный проект:

по созданию новых производств, предусматривающий осуществление юридическим лицом инвестиций в строительство новых производственных объектов, в размере не менее двухмиллионнократного размера месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на дату подачи заявки на предоставление инвестиционных преференций;

по расширению и (или) обновлению действующих производств, предусматривающий осуществление юридическим лицом инвестиций в размере не менее пятимиллионнократного размера месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на дату подачи заявки на предоставление инвестиционных преференций в изменение основных средств, в том числе обновление (реновация, реконструкция, модернизация) действующих производственных мощностей, выпускающих продукцию.

Инвестиционный приоритетный проект по созданию новых производств или расширению и (или) обновлению действующих производств осуществляется юридическим лицом по определенным приоритетным видам деятельности, перечень которых утверждается Правительством Республики Казахстан.

Под специальным инвестиционным проектом понимается инвестиционный проект, реализованный (реализуемый) юридическим лицом Республики Казахстан, зарегистрированным в качестве участника специальной экономической зоны или владельца свободного склада в соответствии с таможенным законодательством Республики Казахстан, и (или) приобретенный у участника специальной экономической зоны либо реализованный юридическим лицом Республики Казахстан, заключившим соглашение о промышленной сборке моторных транспортных средств.

Сноска. Статья 284 в редакции Закона РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018); с изменениями, внесенными Законом РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.04.2021 № 34-VII (вводится в действие с 01.01.2022).

Статья 285. Порядок получения инвестиционных преференций

1. Для получения инвестиционных преференций юридическое лицо Республики Казахстан направляет в уполномоченный орган по инвестициям заявку на предоставление инвестиционных преференций и документы, подтверждающие соответствие заявителя установленным настоящим Кодексом требованиям, по форме, установленной уполномоченным органом по инвестициям.

2. Инвестиционные преференции предоставляются на основании инвестиционного контракта, заключенного между уполномоченным органом по инвестициям и юридическим лицом Республики Казахстан, реализующим инвестиционный проект.

Правила предоставления уполномоченным органом по инвестициям инвестиционных преференций по принципу "одного окна" инвесторам, реализующим инвестиционный приоритетный проект, утверждаются Правительством Республики Казахстан.

3. Исключен Законом РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018).
Сноска. Статья 285 с изменением, внесенным Законом РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018).

Статья 286. Условия предоставления инвестиционных преференций

1. Инвестиционные преференции предоставляются:

1) по инвестиционному проекту, инвестиционному приоритетному проекту – юридическому лицу Республики Казахстан;

2) по специальному инвестиционному проекту – юридическому лицу Республики Казахстан, осуществляющему деятельность в качестве участника специальной экономической зоны или владельца свободного склада, производителям транспортных средств и (или) их компонентов, а также сельскохозяйственной техники и (или) ее компонентов – при наличии соответствующего соглашения о промышленной сборке.;

3) по инвестиционному проекту – юридическому лицу, заключившему соглашение об инвестициях.

2. Исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).
3. Исключен Законом РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018).

4. Инвестиционные преференции предоставляются при реализации юридическим лицом инвестиционного проекта в соответствии с подпунктом 1) пункта 1 настоящей статьи по видам деятельности, включенным в перечень приоритетных видов деятельности, утвержденный Правительством Республики Казахстан.

Определение приоритетных видов деятельности осуществляется в соответствии с общим классификатором видов экономической деятельности, утвержденным уполномоченным органом в области технического регулирования.

В перечень приоритетных видов деятельности, определенных для реализации инвестиционных приоритетных проектов, не подлежат включению следующие виды деятельности:

1) деятельность в сфере игорного бизнеса;

2) деятельность в сфере недропользования, за исключением добычи метана угольных пластов;

3) деятельность по производству подакцизных товаров, за исключением производства продуктов нефтехимии, производства, сборки (комплектации) подакцизных товаров, предусмотренных подпунктами 5) и 6) части первой статьи 462 Кодекса Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс).

Перечень приоритетных видов деятельности, включая перечень приоритетных видов деятельности, определенных для реализации инвестиционных приоритетных проектов, может пересматриваться не более двух раз в год.

5. Инвестиционные преференции для инвестиционного приоритетного проекта предоставляются при соблюдении следующих условий:

1) получателем является юридическое лицо Республики Казахстан;

2) юридическое лицо осуществляет инвестиции в размере не менее двухмиллионнократного (по созданию новых производств) или пятимиллионнократного (по расширению и (или) обновлению действующих производств) размера месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на дату подачи заявки на предоставление инвестиционных преференций.

При создании новых объектов инвестиционной деятельности в сферах пищевой и легкой промышленности размер инвестиций юридического лица составляет не менее миллионнократного размера месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на дату подачи заявки на предоставление инвестиционных преференций;

Примечание ИЗПИ!
В часть третью подпункта 2) предусмотрено изменение Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).

При создании объектов, способных удовлетворить потребности туриста на приоритетных туристских территориях, размер инвестиций юридического лица составляет не менее двухсоттысячекратного размера месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на дату подачи заявки на предоставление инвестиционных преференций;

Примечание ИЗПИ!
Подпункт 2) предусмотрено дополнить частью четвертой в соответствии с Законом РК от 06.04.2024 № 71-VIII (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования).
3) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

4) юридическое лицо не является:

автономной организацией образования в соответствии с налоговым законодательством Республики Казахстан и законодательством Республики Казахстан об образовании;

организацией, осуществляющей деятельность на территории специальной экономической зоны в соответствии с налоговым законодательством Республики Казахстан и законодательством Республики Казахстан о специальных экономических и индустриальных зонах;

5) доля государства и (или) субъекта квазигосударственного сектора – юридического лица Республики Казахстан в качестве учредителя и (или) участника (акционера) юридического лица Республики Казахстан не превышает двадцати шести процентов, за исключением юридического лица Республики Казахстан в отрасли машиностроения, включая производство литейной продукции;

доля государства и (или) субъекта квазигосударственного сектора – юридического лица Республики Казахстан в качестве учредителя и (или) участника (акционера) юридического лица Республики Казахстан в отрасли машиностроения, включая производство литейной продукции, не превышает пятидесяти процентов.

Участие государства и (или) субъекта квазигосударственного сектора – юридического лица Республики Казахстан в качестве учредителя и (или) участника (акционера) юридического лица Республики Казахстан составляет не более пяти лет с даты регистрации инвестиционного контракта, за исключением инвестиционных приоритетных проектов в отрасли машиностроения, включая производство литейной продукции, где участие государства и (или) субъекта квазигосударственного сектора – юридического лица Республики Казахстан в качестве учредителя и (или) участника (акционера) юридического лица Республики Казахстан составляет не более двадцати лет с даты регистрации инвестиционного контракта. В течение пяти лет государство и (или) субъект квазигосударственного сектора обязаны выйти из состава учредителей и (или) участников (акционеров) юридического лица Республики Казахстан. В случае невыполнения данного условия применение инвестиционных преференций приостанавливается до его (их) полного выхода из состава учредителей и (или) участников (акционеров) юридического лица Республики Казахстан, но не более одного года.

Невыполнение условия о выходе из состава учредителей и (или) участников (акционеров) юридического лица Республики Казахстан в течение периода приостановления влечет досрочное прекращение инвестиционного контракта и возврат ранее предоставленных инвестиционных преференций.

Положения настоящего подпункта не применяются в случае, когда субъект квазигосударственного сектора, в котором доля государства и (или) субъекта квазигосударственного сектора в качестве учредителя и (или) участника (акционера) юридического лица Республики Казахстан составляет менее пятидесяти процентов, осуществляет свою деятельность в рамках реализации инвестиционного приоритетного проекта по добыче метана угольных пластов;

6) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования);

7) инвестиционная деятельность осуществляется не в рамках договора государственно-частного партнерства, в том числе договора концессии.

5-1. Для целей применения инвестиционных преференций для специального инвестиционного проекта в соответствии с подпунктом 2) пункта 1 настоящей статьи юридическое лицо Республики Казахстан должно соответствовать одному из следующих условий:

1) юридическое лицо Республики Казахстан зарегистрировано в качестве участника специальной экономической зоны в соответствии с законодательством Республики Казахстан о специальных экономических и индустриальных зонах;

2) юридическое лицо Республики Казахстан зарегистрировано в качестве владельца свободного склада в соответствии с таможенным законодательством Республики Казахстан;

3) юридическое лицо Республики Казахстан заключило соглашение о промышленной сборке моторных транспортных средств.

4) исключен Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

6. Срок применения инвестиционных преференций устанавливается настоящим Кодексом и иными законодательными актами Республики Казахстан и указывается в инвестиционном контракте по каждому виду инвестиционных преференций.

7. Инвестиционные преференции предоставляются инвестору при условии представления документов, предусмотренных статьей 292 настоящего Кодекса, подтверждающих соответствие инвестора предъявляемым требованиям.

8. Применение инвестиционных преференций осуществляется в соответствии с настоящим Кодексом и иными законодательными актами Республики Казахстан.

Сноска. Статья 286 с изменениями, внесенными законами РК от 28.04.2016 № 506-V (вводится в действие по истечении шестидесяти календарных дней после дня его первого официального опубликования); от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018); от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.04.2021 № 34-VII (вводится в действие с 01.01.2022).

Статья 287. Освобождение от обложения таможенными пошлинами

1. Юридическое лицо Республики Казахстан, реализующее инвестиционный проект в рамках инвестиционного контракта, освобождается от обложения таможенными пошлинами при импорте технологического оборудования, комплектующих и запасных частей к нему, сырья и (или) материалов в соответствии с законодательством Республики Казахстан.

Лизинговая компания освобождается от обложения таможенными пошлинами при импорте технологического оборудования, поставляемого в рамках реализации инвестиционного проекта на основании договора финансового лизинга для юридического лица Республики Казахстан, реализующего инвестиционный проект.

Под технологическим оборудованием понимаются товары, предназначенные для использования в технологическом процессе инвестиционного проекта.

Под комплектующими понимаются составные части, в совокупности составляющие конструктивную целостность технологического оборудования.

Под сырьем и (или) материалом понимается любое полезное ископаемое, компонент, деталь или иной товар, используемый для получения готовой продукции посредством технологического процесса.

1-1. Юридическое лицо Республики Казахстан, реализующее специальный инвестиционный проект в рамках специального инвестиционного контракта, освобождается от обложения таможенными пошлинами при импорте технологического оборудования, комплектующих и запасных частей к нему в соответствии с законодательством Республики Казахстан.

Освобождение от обложения таможенными пошлинами использованных сырья и (или) материалов, ввезенных юридическими лицами Республики Казахстан в рамках реализации специального инвестиционного проекта на основании специального инвестиционного контракта, осуществляется при завершении действия таможенной процедуры свободной таможенной зоны или свободного склада при условии идентификации таких сырья и материалов в полученном продукте и признания целевого использования условно выпущенных товаров.

2. Освобождение от обложения таможенными пошлинами при импорте технологического оборудования и комплектующих к нему предоставляется на срок действия инвестиционного контракта, но не более пяти лет с момента регистрации инвестиционного контракта.

3. Освобождение от обложения таможенной пошлиной при импорте запасных частей к технологическому оборудованию сроком до пяти лет предоставляется юридическим лицам Республики Казахстан в зависимости от объема инвестиций в фиксированные активы и в случае соответствия инвестиционного проекта перечню приоритетных видов деятельности, утвержденному Правительством Республики Казахстан.

Освобождение от обложения таможенной пошлиной при импорте сырья и (или) материалов предоставляется сроком на пять лет со дня ввода в эксплуатацию фиксированных активов по рабочей программе.

Освобождение от обложения таможенными пошлинами предоставляется на срок действия инвестиционного контракта, но не более пяти лет со дня ввода в эксплуатацию фиксированных активов по рабочей программе.

Рабочая программа представляет собой приложение к инвестиционному контракту, определяющее календарный график работ по реализации инвестиционного проекта до ввода производства в эксплуатацию.

В случае, если рабочей программой предусматривается ввод двух и более фиксированных активов, исчисление срока освобождения от уплаты таможенной пошлины на ввоз запасных частей к технологическому оборудованию, сырья и (или) материалов ведется с даты, когда введен в эксплуатацию первый фиксированный актив по рабочей программе.

Действие настоящего пункта не распространяется на условия предоставления инвестиционных преференций для специального инвестиционного проекта.

3-1. Освобождение от обложения ввозными таможенными пошлинами в рамках реализации специального инвестиционного проекта предоставляется:

1) участникам специальных экономических зон на пятнадцатилетний срок, но не более срока действия специальных экономических зон;

2) владельцам свободных складов на срок не более пятнадцати лет с момента регистрации специального инвестиционного контракта;

3) юридическим лицам Республики Казахстан, заключившим соглашение о промышленной сборке моторных транспортных средств, на срок не более пятнадцати лет с момента регистрации специального инвестиционного контракта.

4. Уведомление о решении, принятом в соответствии с пунктом 2 настоящей статьи, направляется уполномоченным органом по инвестициям в течение пяти рабочих дней таможенному органу.

Сноска. Статья 287 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018); от 30.12.2020 № 397-VI (вводится в действие по истечении шести месяцев после дня его первого официального опубликования).

Статья 288. Государственные натурные гранты

1. Государственные натурные гранты представляют собой имущество, являющееся собственностью Республики Казахстан, передаваемое во временное безвозмездное пользование либо предоставляемое на праве временного безвозмездного землепользования юридическому лицу Республики Казахстан для реализации инвестиционного проекта с последующей безвозмездной передачей в собственность либо землепользование.

2. Государственные натурные гранты в порядке, установленном настоящим Кодексом, предоставляются уполномоченным органом по инвестициям по согласованию с уполномоченным органом по управлению государственным имуществом и (или) центральным уполномоченным органом по управлению земельными ресурсами, а также местными исполнительными органами во временное безвозмездное пользование либо на праве временного безвозмездного землепользования с последующей безвозмездной передачей в собственность либо землепользование в случае выполнения инвестиционных обязательств в соответствии с инвестиционным контрактом.

Основанием для безвозмездной передачи предоставленного государственного натурного гранта в собственность или землепользование является решение уполномоченного органа по инвестициям, которое принимается не позднее трех месяцев с даты получения аудиторского отчета, предусматривающего выполнение инвестором инвестиционных обязательств в соответствии с инвестиционным контрактом, заключенным между инвестором и уполномоченным органом по инвестициям.

3. В качестве государственных натурных грантов могут передаваться: земельные участки, здания, сооружения, машины и оборудование, вычислительная техника, измерительные и регулирующие приборы и устройства, транспортные средства (за исключением легкового автотранспорта), производственный и хозяйственный инвентарь.

4. Оценка государственных натурных грантов осуществляется по их рыночной стоимости в порядке, установленном законодательством Республики Казахстан.

5. Максимальный размер государственного натурного гранта составляет не более тридцати процентов от объема инвестиций в фиксированные активы юридического лица Республики Казахстан.

В случае, если оценочная стоимость запрашиваемого государственного натурного гранта превышает указанный максимальный размер, юридическое лицо Республики Казахстан имеет право получить запрашиваемое имущество с оплатой разницы между его оценочной стоимостью и максимальным размером государственного натурного гранта.

Сноска. Статья 288с изменением, внесенным Законом РК от 27.12.2021 № 87-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 289. Гарантии стабильности при изменении законодательства Республики Казахстан

1. Юридическим лицам, реализующим инвестиционные приоритетные проекты, соответствующие пункту 5 статьи 286 настоящего Кодекса, или реализующим инвестиционные стратегические проекты по инвестиционным контрактам, заключенным до 1 января 2015 года, или реализующим инвестиционный проект в рамках соглашения об инвестициях, гарантируется стабильность при изменении:

1) налогового законодательства Республики Казахстан в соответствии с Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс);

2) законодательства Республики Казахстан о миграции населения в сфере привлечения иностранной рабочей силы.

Исключения из части первой настоящего пункта составляют случаи, предусмотренные пунктом 4 статьи 295-2 настоящего Кодекса.

2. Применение гарантии стабильности законодательства Республики Казахстан аннулируется в случае досрочного прекращения действия инвестиционного контракта в порядке, установленном настоящим Кодексом.

3. Юридическим лицам, заключившим соглашение об инвестиционных обязательствах в соответствии со статьей 295-3 настоящего Кодекса, гарантируется стабильность налогового законодательства Республики Казахстан в соответствии с Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс) сроком на десять лет.

Сноска. Статья 289 с изменениями, внесенными законами РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 27.12.2021 № 87-VII (вводятся в действие с 01.01.2022); от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 20.04.2023 № 226-VII (вводится в действие с 01.07.2023).

Статья 290. Преференции по налогам

1. Преференции по налогам предоставляются юридическим лицам Республики Казахстан в порядке и на условиях, предусмотренных налоговым законодательством Республики Казахстан.

2. Виды преференций по налогам:

1) для инвестиционных приоритетных проектов:

уменьшение суммы исчисленного корпоративного подоходного налога на 100 процентов;

применение коэффициента 0 к ставкам земельного налога;

исчисление налога на имущество по ставке 0 процента к налоговой базе;

2) для инвестиционных проектов, за исключением инвестиционных приоритетных проектов, – освобождение от налога на добавленную стоимость импорта сырья и (или) материалов в рамках инвестиционного контракта;

3) для специальных инвестиционных проектов – освобождение импорта сырья и (или) материалов в рамках специального инвестиционного контракта от налога на добавленную стоимость в соответствии с налоговым законодательством Республики Казахстан.

3. Инвестиционным контрактом устанавливается срок действия каждого вида преференций по налогам, но не более предельного срока их применения, определенного в соответствии с Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс).

4. Применение преференций по налогам аннулируется в случае досрочного прекращения действия инвестиционного контракта в порядке, установленном настоящим Кодексом.

Сноска. Статья 290 с изменениями, внесенными Законом РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018).

Статья 291. Инвестиционная субсидия

Сноска. Статья 291 исключена Законом РК от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 292. Требования к заявке на предоставление инвестиционных преференций

1. Заявка на предоставление инвестиционных преференций принимается и регистрируется по форме, установленной уполномоченным органом по инвестициям, при наличии:

1) справки о государственной регистрации (перерегистрации) юридического лица;

2) копии устава юридического лица, заверенной подписью руководителя и печатью юридического лица.

В случае, если юридическое лицо является субъектом частного предпринимательства, скрепление документов печатью не требуется;

3) бизнес-плана инвестиционного проекта, составленного в соответствии с требованиями, устанавливаемыми уполномоченным органом по инвестициям;

4) исключен Законом РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018);

5) документов, подтверждающих размер (стоимость) запрашиваемого подавшим заявку юридическим лицом Республики Казахстан государственного натурного гранта и предварительное согласование его предоставления;

Примечание РЦПИ!
Подпункт 6) действовал до 01.01.2017 в соответствии с Кодексом РК от 29.10.2015 № 375-V.

6) справки органа государственных доходов по месту регистрации об отсутствии налоговой задолженности, задолженности по обязательным пенсионным взносам, обязательным профессиональным пенсионным взносам и социальным отчислениям;

7) копий паспорта или документа, удостоверяющего личность привлекаемого иностранного работника (с переводом на казахский или русский язык), трудового договора, заключенного между работодателем и привлекаемым иностранным работником (с переводом на казахский или русский язык), документов, подтверждающих его квалификацию и (или) образование (с переводом на казахский или русский язык).

В случае реализации инвестиционного приоритетного проекта на приоритетных туристских территориях также прилагается письмо центрального исполнительного органа, осуществляющего функции государственного управления в области туристской деятельности, подтверждающее реализацию инвестиционного приоритетного проекта на приоритетных туристских территориях.

1-1. Заявка на предоставление инвестиционных преференций в рамках реализации специального инвестиционного проекта принимается и регистрируется по форме и в порядке, которые установлены уполномоченным органом, определяемым Правительством Республики Казахстан для заключения специального инвестиционного контракта.

2. В случае, если заявка на предоставление инвестиционных преференций предусматривает предоставление преференций по налогам, инвестор представляет заключение комплексной вневедомственной экспертизы проектов строительства, заверенное подписью руководителя, в порядке, определенном законодательством Республики Казахстан.

Сноска. Статья 292 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018); от 02.04.2019 № 241-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 27.12.2019 № 295-VІ (вводится в действие с 01.01.2020); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 30.04.2021 № 34-VII (вводится в действие с 01.01.2022).

Статья 293. Сроки рассмотрения заявки на предоставление инвестиционных преференций

1. Заявка на предоставление инвестиционных преференций подается для рассмотрения в уполномоченный орган по инвестициям, который в соответствии с требованиями, установленными статьями 285 и 286 настоящего Кодекса, принимает решение в течение двадцати рабочих дней с даты регистрации заявки.

Порядок рассмотрения заявки на предоставление инвестиционной преференции в виде инвестиционной субсидии определяется правилами предоставления инвестиционной субсидии.

2. Порядок приема, регистрации и рассмотрения заявки на предоставление инвестиционных преференций определяется уполномоченным органом по инвестициям.

3. Положения настоящей статьи не распространяются на заявки на предоставление инвестиционных преференций для специального инвестиционного проекта.

Сноска. Статья 293 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018).

Статья 294. Заключение инвестиционного контракта

1. Инвестиционным контрактом является договор на реализацию инвестиционного проекта, предусматривающий осуществление инвестиций и предоставление инвестиционных преференций.

2. Уполномоченный орган по инвестициям в течение десяти рабочих дней со дня принятия решения о предоставлении инвестиционных преференций подготавливает для подписания инвестиционный контракт с учетом положений модельного контракта.

Под модельным контрактом понимается типовой контракт, утверждаемый Правительством Республики Казахстан и используемый при заключении инвестиционных контрактов.

3. Инвестиционный контракт регистрируется уполномоченным органом по инвестициям в течение пяти рабочих дней со дня подписания и вступает в силу со дня его регистрации.

Датой заключения инвестиционного контракта является дата его регистрации уполномоченным органом по инвестициям.

4. Срок действия инвестиционного контракта определяется сроком действия инвестиционных преференций. Срок окончания работ по рабочей программе должен заканчиваться не позднее чем за девять месяцев до окончания срока действия инвестиционного контракта.

В случае реализации инвестиционного проекта юридическим лицом Республики Казахстан, заключившим договор финансового лизинга, срок действия инвестиционного контракта должен заканчиваться по истечении девяти месяцев после завершения срока действия договора финансового лизинга.

Сноска. Статья 294 с изменением, внесенным Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017).

Статья 295. Условия расторжения инвестиционного контракта

1. Действие инвестиционных преференций прекращается по истечении срока действия инвестиционного контракта либо может быть прекращено до истечения такого срока в порядке, установленном настоящей статьей.

2. Действие инвестиционного контракта может быть досрочно прекращено:

1) по соглашению сторон;

2) в одностороннем порядке.

3. При неисполнении либо ненадлежащем исполнении инвестором обязательств по инвестиционному контракту и в случае непредставления инвестором документов, обосновывающих возможности дальнейшей реализации инвестиционного проекта, для внесения изменений в контракт уполномоченный орган по инвестициям досрочно прекращает действие инвестиционного контракта в одностороннем порядке по истечении трех месяцев с даты направления уведомления.

В случае расторжения инвестиционного контракта указанное юридическое лицо уплачивает суммы налогов и таможенных пошлин, не уплаченных в бюджет вследствие предоставленных по инвестиционному контракту инвестиционных преференций.

4. При досрочном прекращении инвестиционного контракта по инициативе юридического лица Республики Казахстан, заключившего инвестиционный контракт, в одностороннем порядке указанное юридическое лицо уплачивает суммы налогов и таможенных пошлин, не уплаченных вследствие предоставленных по инвестиционному контракту инвестиционных преференций.

5. При досрочном прекращении инвестиционного контракта по соглашению сторон юридическое лицо Республики Казахстан, заключившее инвестиционный контракт, уплачивает суммы налогов и таможенных пошлин, не уплаченных вследствие предоставленных по инвестиционному контракту инвестиционных преференций.

6. При досрочном прекращении инвестиционного контракта юридическое лицо Республики Казахстан, заключившее инвестиционный контракт, возвращает имущество в натуре, предоставленное ему в качестве государственного натурного гранта, либо его первоначальную стоимость на дату передачи в соответствии с условиями инвестиционного контракта.

6-1. В случае расторжения инвестиционного контракта юридическое лицо Республики Казахстан возмещает в полном объеме сумму инвестиционной субсидии, выплаченной по инвестиционному контракту.

7. Возврат государственного натурного гранта осуществляется юридическим лицом Республики Казахстан, заключившим инвестиционный контракт, в течение тридцати календарных дней после принятия решения уполномоченного органа по инвестициям о досрочном прекращении инвестиционного контракта.

Сноска. Статья 295 с изменениями, внесенными Законом РК от 25.12.2017 № 122-VI (вводится в действие с 01.01.2018).

Статья 295-1. Заключение и расторжение специального инвестиционного контракта

1. Специальным инвестиционным контрактом является договор, предусматривающий предоставление инвестиционных преференций для специального инвестиционного проекта.

2. Уполномоченный орган по заключению специальных инвестиционных контрактов, определяемый Правительством Республики Казахстан, в течение пятнадцати рабочих дней со дня поступления заявки на предоставление инвестиционных преференций для специального инвестиционного проекта подготавливает для подписания специальный инвестиционный контракт с учетом положений типового специального инвестиционного контракта, утверждаемого уполномоченным органом по заключению специальных инвестиционных контрактов, определяемым Правительством Республики Казахстан.

3. Порядок и условия заключения и расторжения специального инвестиционного контракта разрабатываются и утверждаются уполномоченным органом по заключению специальных инвестиционных контрактов, определяемым Правительством Республики Казахстан.

4. Срок действия специального инвестиционного контракта определяется сроком действия инвестиционных преференций.

5. При досрочном прекращении специального инвестиционного контракта по соглашению сторон юридическое лицо Республики Казахстан, заключившее специальный инвестиционный контракт, не уплачивает суммы таможенных пошлин, не уплаченных вследствие предоставленных по специальному инвестиционному контракту инвестиционных преференций.

Сноска. Кодекс дополнен статьей 295-1 в соответствии с Законом РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); с изменениями, внесенными законами РК от 03.04.2019 № 243-VІ (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); от 25.11.2019 № 272-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 295-2. Соглашение об инвестициях

1. Соглашением об инвестициях является договор на реализацию инвестиционного проекта, заключаемый на основании решения Правительства Республики Казахстан между лицом, уполномоченным Правительством Республики Казахстан, и юридическим лицом, в том числе зарегистрированным в юрисдикции Международного финансового центра "Астана", предусматривающий осуществление инвестиций в размере не менее семи с половиной миллионнократного размера месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на 1 января соответствующего финансового года.

Соглашением об инвестициях определяются условия и порядок предоставления преференций и льгот, предусмотренных законодательством Республики Казахстан на момент заключения соглашения об инвестициях, а также устанавливаются встречные обязательства для юридических лиц, заключивших соглашение об инвестициях.

Соглашения об инвестициях не могут заключаться для реализации проектов в следующих видах деятельности:

1) деятельность, связанная с оборотом наркотических средств, психотропных веществ и прекурсоров;

2) производство и (или) оптовая реализация подакцизной продукции;

3) проведение лотереи;

4) деятельность в сфере игорного бизнеса;

5) деятельность, связанная с оборотом радиоактивных материалов;

6) банковская деятельность (либо отдельные виды банковских операций) и деятельность на страховом рынке (кроме деятельности страхового агента);

7) аудиторская деятельность;

8) профессиональная деятельность на рынке ценных бумаг;

9) деятельность в сфере цифрового майнинга;

10) деятельность кредитных бюро;

11) охранная деятельность;

12) деятельность, связанная с оборотом гражданского и служебного оружия и патронов к нему;

13) деятельность в сфере недропользования, в том числе деятельность старателей;

14) реализация полезных ископаемых, в том числе деятельность трейдеров, деятельность по реализации угля, нефти.

2. Срок, порядок и условия изменения и расторжения соглашения об инвестициях установлены в правилах заключения, изменения и расторжения соглашений об инвестициях, утвержденных уполномоченным органом по инвестициям.

3. Положения соглашения об инвестициях сохраняют свое действие в течение двадцати пяти лет со дня его заключения в случае изменения законодательства Республики Казахстан, за исключением тех положений, которые вытекают из международных договоров, ратифицированных Республикой Казахстан, а также случаев внесения изменений в соглашение об инвестициях по соглашению сторон.

Сноска. Кодекс дополнен статьей 295-2 в соответствии с Законом РК от 02.01.2021 № 399-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования); в редакции Закон РК от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 295-3. Соглашение об инвестиционных обязательствах

1. Соглашением об инвестиционных обязательствах является договор, заключаемый между Правительством Республики Казахстан и юридическим лицом, предусматривающий обязательства юридического лица по финансированию капитализируемых последующих расходов и (или) расходов на приобретение, производство, строительство новых фиксированных активов, а также по финансированию других затрат, увеличивающих стоимость фиксированных активов в соответствии с международными стандартами финансовой отчетности и (или) требованиями законодательства Республики Казахстан о бухгалтерском учете и финансовой отчетности, в течение восьми лет, включая год подачи заявки на заключение такого соглашения, суммарно в размере не менее семидесятипятимиллионнократного размера месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на 1 января года, в котором подана заявка на его заключение.

В случае заключения соглашения об инвестиционных обязательствах с юридическим лицом, осуществляющим деятельность в сфере добычи и (или) переработки твердых полезных ископаемых, такое соглашение заключается исключительно по деятельности в сфере добычи и (или) переработки твердых полезных ископаемых.

2. Соглашение об инвестиционных обязательствах заключается с юридическим лицом, соответствующим одновременно следующим условиям:

1) юридическое лицо является товаропроизводителем, за исключением недропользователей, добывающих углеводородные полезные ископаемые, и производителей нефтепродуктов. Под товаропроизводителем для целей настоящей статьи понимается юридическое лицо, у которого не менее семидесяти процентов в совокупном годовом доходе за год, предшествовавший году подачи заявки на заключение соглашения об инвестиционных обязательствах, составляет доход от реализации товаров собственного производства либо от реализации добытых таким лицом полезных ископаемых и (или) продукции, полученной в результате переработки таким лицом полезных ископаемых;

2) юридическое лицо является субъектом крупного или среднего предпринимательства в соответствии с настоящим Кодексом;

3) не осуществляет деятельность по производству подакцизных товаров;

4) не применяет специальные налоговые режимы.

3. Исполнение юридическим лицом, заключившим соглашение об инвестиционных обязательствах, обязательств, предусмотренных частью первой пункта 1 настоящей статьи, осуществляется в соответствии с графиком вложения инвестиций, являющимся приложением к соглашению об инвестиционных обязательствах.

При этом финансирование не менее пятидесяти процентов от суммы, предусмотренной частью первой пункта 1 настоящей статьи, должно быть осуществлено в течение первых четырех лет, включая год подачи заявки на заключение соглашения об инвестиционных обязательствах.

При исполнении юридическим лицом, заключившим соглашение об инвестиционных обязательствах, обязательств, предусмотренных частью первой пункта 1 настоящей статьи:

1) стоимость товаров, работ и услуг по договорам, заключенным со взаимосвязанной стороной, учитывается в размере фактически понесенных расходов, но не более пятидесяти процентов от суммы обязательств, предусмотренной частью первой пункта 1 настоящей статьи;

2) при заключении договоров на приобретение товаров, работ и услуг, стоимость которых учитывается в размере фактически понесенных расходов, со взаимосвязанной стороной такая взаимосвязанная сторона должна являться резидентом Республики Казахстан.

4. В течение срока действия соглашения об инвестиционных обязательствах, начиная со второго года с даты его заключения, юридическое лицо, не являющееся недропользователем, также обязано ежегодно осуществлять финансирование обучения казахстанских кадров в сумме не менее двадцатитысячекратного размера месячного расчетного показателя, установленного законом о республиканском бюджете и действующего на 1 января года, в котором осуществляется такое финансирование.

Юридическое лицо, являющееся недропользователем, осуществляет финансирование расходов, указанных в части первой настоящего пункта, в соответствии с законодательством Республики Казахстан о недрах и недропользовании.

5. Заявка на заключение соглашения об инвестиционных обязательствах подается в уполномоченный орган по инвестициям.

Уполномоченный орган по инвестициям в течение двадцати рабочих дней со дня поступления заявки на заключение соглашения об инвестиционных обязательствах разрабатывает проект постановления Правительства Республики Казахстан для подписания такого соглашения.

Порядок заключения, внесения изменений, прекращения действия соглашения об инвестиционных обязательствах и типовая форма соглашения об инвестиционных обязательствах разрабатываются уполномоченным органом по инвестициям и утверждаются Правительством Республики Казахстан.

6. Изменения в соглашение об инвестиционных обязательствах могут вноситься исключительно в части изменения графика вложения инвестиций с учетом сохранения положений, установленных в части второй пункта 3 настоящей статьи.

7. Заключение соглашения об инвестиционных обязательствах не препятствует заключению инвестиционных контрактов на предоставление инвестиционных преференций при соответствии требованиям, установленным настоящим Кодексом. При этом преференции по налогам предоставляются в соответствии с настоящим Кодексом и Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс), действующими на момент заключения соглашения об инвестиционных обязательствах.

8. Действие соглашения об инвестиционных обязательствах до истечения срока, указанного в пункте 3 статьи 289 настоящего Кодекса, может быть прекращено по соглашению сторон или в одностороннем порядке в соответствии с настоящим пунктом.

При неисполнении обязательств и условий, предусмотренных частью первой пункта 1, пунктом 2, частью второй пункта 3 и пунктом 4 настоящей статьи, в период действия соглашения об инвестиционных обязательствах Правительство Республики Казахстан досрочно прекращает действие соглашения об инвестиционных обязательствах в одностороннем порядке по истечении трех месяцев с даты направления уведомления.

При досрочном прекращении соглашения об инвестиционных обязательствах юридическое лицо, заключившее такое соглашение, осуществляет перерасчет своих налоговых обязательств в порядке, установленном в соответствии с Кодексом Республики Казахстан "О налогах и других обязательных платежах в бюджет" (Налоговый кодекс).

Сноска. Глава 25 дополнена статьей 295-3 в соответствии с Законом РК от 27.12.2021 № 87-VII (вводятся в действие с 01.01.2022); с изменениями, внесенными законами РК от 30.12.2022 № 177-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 296. Разрешение инвестиционных споров

1. Инвестиционным спором является спор, вытекающий из договорных обязательств между инвесторами, в том числе крупными инвесторами, и государственными органами в связи с инвестиционной деятельностью инвестора.

2. Инвестиционные споры разрешаются путем переговоров либо в соответствии с ранее согласованной сторонами процедурой разрешения споров.

3. При невозможности разрешения инвестиционных споров в соответствии с положениями пункта 2 настоящей статьи разрешение споров производится в соответствии с международными договорами и законодательными актами Республики Казахстан в судах Республики Казахстан, а также в арбитражах, определяемых соглашением сторон.

4. Споры, не относящиеся к инвестиционным, разрешаются в соответствии с законодательством Республики Казахстан.

Сноска. Статья 296 с изменением, внесенным Законом РК от 08.04.2016 № 489-V (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 296-1. Формы контроля за соблюдением условий инвестиционных контрактов

Контроль за соблюдением условий инвестиционных контрактов осуществляется уполномоченным органом по инвестициям в следующих формах:

1) камерального контроля, осуществляемого на основе изучения и анализа отчетов, представленных в соответствии с пунктом 1 статьи 296-2 настоящего Кодекса;

2) посещения объекта инвестиционной деятельности, в том числе с рассмотрением документов по исполнению рабочей программы и условий инвестиционного контракта.

Сноска. Параграф 2 дополнен статьей 296-1 в соответствии с Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 296-2. Порядок организации и осуществления контроля за соблюдением условий инвестиционных контрактов

1. После заключения инвестиционного контракта юридическое лицо Республики Казахстан представляет по форме, устанавливаемой уполномоченным органом по инвестициям, полугодовые отчеты о выполнении инвестиционного контракта не позднее 25 июля и 25 января с расшифровкой по статьям затрат, предусмотренных рабочей программой, с приложением документов, подтверждающих ввод в эксплуатацию фиксированных активов, поставку и использование запасных частей к технологическому оборудованию, сырья и (или) материалов.

2. Изменения в приложения к инвестиционному контракту и специальному инвестиционному контракту могут вноситься по соглашению сторон два раза в год.

3. Проверка с посещением объекта инвестиционной деятельности проводится в течение шести месяцев после ввода в эксплуатацию фиксированных активов при условии завершения рабочей программы.

4. По результатам проверки представитель уполномоченного органа по инвестициям и руководитель юридического лица Республики Казахстан, заключившего инвестиционный контракт, подписывают по форме, установленной уполномоченным органом по инвестициям, акт текущего состояния исполнения рабочей программы инвестиционного контракта.

5. В случае неисполнения или ненадлежащего исполнения рабочей программы инвестиционного контракта уполномоченный орган по инвестициям направляет юридическому лицу Республики Казахстан, заключившему инвестиционный контракт, уведомление в письменной форме с указанием нарушений и устанавливает трехмесячный срок для устранения нарушений.

6. В случае, если по результатам проверки, проведенной уполномоченным органом по инвестициям, будет установлено, что ввезенные для реализации инвестиционного проекта и освобожденные от уплаты таможенных пошлин технологическое оборудование, комплектующие, запасные части к нему, сырье и (или) материалы не были введены в эксплуатацию либо не были использованы, юридическое лицо Республики Казахстан, не уплатившее вследствие предоставленных по инвестиционному контракту инвестиционных преференций суммы таможенных пошлин, уплачивает их в части неиспользованных оборудования, комплектующих, запасных частей к нему, сырья и (или) материалов с начислением пени в порядке, установленном законодательством Республики Казахстан.

7. После завершения реализации рабочей программы юридическое лицо Республики Казахстан, заключившее инвестиционный контракт, в течение двух месяцев представляет в уполномоченный орган по инвестициям аудиторский отчет, который должен содержать:

1) информацию об исполнении инвестиционных обязательств согласно рабочей программе;

2) расшифровку по фиксированным активам, приобретенным в соответствии с рабочей программой;

3) сводный реестр документов, подтверждающих выполнение рабочей программы;

4) сведения об исполнении условий инвестиционного контракта.

В случае, если инвестиционный контракт предусматривает предоставление инвестиционной субсидии, юридическое лицо Республики Казахстан, заключившее инвестиционный контракт, в течение двух месяцев представляет в уполномоченный орган аудиторский отчет аудиторской организации, которая соответствует минимальным требованиям, установленным уполномоченным органом в области аудиторской деятельности.

8. Информация о расторжении инвестиционного контракта в целях обеспечения защиты экономических интересов государства направляется:

1) в органы государственных доходов и при необходимости в иные государственные органы для принятия соответствующих мер;

2) по инвестиционным контрактам, согласно которым предоставлен государственный натурный грант, – в органы государственных доходов, уполномоченный орган по управлению государственным имуществом и (или) центральный уполномоченный орган по управлению земельными ресурсами, а также местные исполнительные органы.

9. Юридическое лицо Республики Казахстан, заключившее инвестиционный контракт, в течение действия инвестиционного контракта не имеет права:

1) изменять целевое назначение предоставленного государственного натурного гранта, а также имущества, приобретенного в соответствии с рабочей программой;

2) отчуждать предоставленный государственный натурный грант, а также имущество, приобретенное в соответствии с рабочей программой.

10. Контроль за целевым использованием объектов освобождения от обложения таможенными пошлинами осуществляется в порядке, определенном Евразийской экономической комиссией.

Сноска. Параграф 2 дополнен статьей 296-2 в соответствии с Законом РК от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Глава 26. СПЕЦИАЛЬНЫЕ ЗАЩИТНЫЕ, АНТИДЕМПИНГОВЫЕ И КОМПЕНСАЦИОННЫЕ МЕРЫ ПО ОТНОШЕНИЮ К ТРЕТЬИМ СТРАНАМ

Статья 297. Общие положения о введении мер защиты внутреннего рынка

1. В целях защиты экономических интересов Республики Казахстан могут вводиться меры защиты внутреннего рынка в отношении товаров, происходящих из третьих стран и ввозимых на таможенную территорию Евразийского экономического союза, в виде специальных защитных, антидемпинговых и компенсационных мер.

Под третьими странами понимаются страны и (или) объединения стран, не являющиеся участниками Договора о Евразийском экономическом союзе, а также территории, включенные в классификатор стран мира, утверждаемый Евразийской экономической комиссией.

2. Решения о введении и применении, пересмотре или отмене специальной защитной, антидемпинговой или компенсационной мер либо неприменении соответствующей меры принимаются Евразийской экономической комиссией.

Применение специальных защитных, антидемпинговых и компенсационных мер, проведение расследования, предшествующего применению специальных защитных, антидемпинговых и компенсационных мер, регулируются Законом Республики Казахстан "О специальных защитных, антидемпинговых и компенсационных мерах по отношению к третьим странам".

Статья 298. Виды мер

1. Специальной защитной мерой является мера по ограничению возросшего импорта товара на таможенную территорию Евразийского экономического союза, которая применяется по решению Евразийской экономической комиссии посредством введения импортной квоты, специальной квоты или специальной пошлины, в том числе предварительной специальной пошлины.

2. Антидемпинговой мерой является мера по противодействию демпинговому импорту, которая применяется по решению Евразийской экономической комиссии посредством введения антидемпинговой пошлины, в том числе предварительной антидемпинговой пошлины, или одобрения ценовых обязательств, принятых экспортером.

3. Компенсационной мерой является мера по нейтрализации воздействия специфической субсидии экспортирующей третьей страны на отрасль экономики государств-членов, применяемая по решению Евразийской экономической комиссии посредством введения компенсационной пошлины (в том числе предварительной компенсационной пошлины) либо одобрения добровольных обязательств, принятых уполномоченным органом субсидирующей третьей страны или экспортером.

Статья 299. Принципы применения специальных защитных, антидемпинговых и компенсационных мер

Специальная защитная мера может быть применена к товару в том случае, если по результатам расследования установлено, что импорт этого товара на таможенную территорию Евразийского экономического союза осуществляется в таких возросших количествах (в абсолютных или относительных показателях к общему объему производства в государствах-членах аналогичного или непосредственно конкурирующего товара) и на таких условиях, что это причиняет серьезный ущерб отрасли экономики государств-членов или создает угрозу причинения такого ущерба.

Антидемпинговая мера применяется к товару, являющемуся предметом демпингового импорта, в случае, если по результатам расследования, проведенного органом, проводящим расследования, установлено, что импорт такого товара на таможенную территорию Евразийского экономического союза причиняет материальный ущерб отрасли экономики государств-членов, создает угрозу причинения такого ущерба или существенно замедляет создание отрасли экономики государств-членов.

Компенсационная мера может быть применена к импортируемому товару, при производстве, экспорте или транспортировке которого использовалась специфическая субсидия экспортирующей третьей страны, в случае, если по результатам расследования, проведенного органом, проводящим расследования, установлено, что импорт такого товара на таможенную территорию Евразийского экономического союза причиняет материальный ущерб отрасли экономики государств-членов, создает угрозу причинения такого ущерба или существенно замедляет создание отрасли экономики государств-членов.

Под государствами-членами понимаются государства, являющиеся членами Евразийского экономического союза и Сторонами Договора о Евразийском экономическом союзе.

РАЗДЕЛ 6. ФОРМЫ И СПОСОБЫ ЗАЩИТЫ ПРАВ СУБЪЕКТОВ ПРЕДПРИНИМАТЕЛЬСТВА
Глава 27. ЗАЩИТА ПРАВ СУБЪЕКТОВ ПРЕДПРИНИМАТЕЛЬСТВА

Статья 300. Формы защиты прав субъектов предпринимательства

1. Каждый субъект предпринимательства имеет право на судебную защиту своих прав, свобод и законных интересов.

Защита нарушенных или оспариваемых прав субъектов предпринимательства может осуществляться в ином порядке, предусмотренном законами Республики Казахстан (арбитраж, медиация, Уполномоченный по защите прав предпринимателей Казахстана, омбудсмен, переговоры, претензионный порядок и иные).

2. Защита прав субъектов предпринимательства может осуществляться путем обжалования действий (бездействия) должностных лиц и актов (решений) государственных органов в случаях, предусмотренных настоящим Кодексом и законами Республики Казахстан.

3. В случаях, специально предусмотренных законами, защита прав субъектов предпринимательства может осуществляться непосредственными фактическими или юридическими действиями субъекта предпринимательства, право которого нарушено (самозащита).

Статья 301. Судебная форма защиты

Субъекты предпринимательства вправе в порядке, установленном законами Республики Казахстан, обратиться в суд за защитой нарушенных или оспариваемых прав, свобод или законных интересов.

Сноска. Статья 301 - в редакции Закона РК от 29.06.2020 № 351-VI (вводится в действие с 01.07.2021).

Статья 302. Досудебное урегулирование споров, сторонами которых являются субъекты предпринимательства

1. Субъекты предпринимательства, чьи права и законные интересы нарушены, в целях непосредственного урегулирования спора с нарушителем этих прав обращаются к нему с письменной претензией в порядке, предусмотренном законами Республики Казахстан.

2. В случаях, установленных законами Республики Казахстан, когда соблюдение досудебного порядка урегулирования спора является необязательным, субъект предпринимательства вправе обратиться непосредственно в суд за защитой своего нарушенного права.

3. В случае неурегулирования споров в досудебном порядке субъекты предпринимательства вправе обратиться в суд в порядке, установленном законами Республики Казахстан.

Сноска. Статья 302 с изменением, внесенным Законом РК от 29.06.2020 № 351-VI (вводится в действие с 01.07.2021).

Статья 303. Внесудебные формы защиты

1. Защита прав субъектов предпринимательства может осуществляться в следующих формах, предусмотренных законами Республики Казахстан и (или) договором:

1) в арбитраже;

2) посредством применения медиации;

3) в порядке партисипативной процедуры.

2. Могут быть установлены другие внесудебные формы защиты прав субъектов предпринимательства в случаях, предусмотренных законами Республики Казахстан.

3. В целях обеспечения соблюдения прав и законных интересов субъектов предпринимательства, урегулирования разногласий, возникающих в процессе осуществления предпринимательской деятельности, субъекты предпринимательства вправе обратиться к Уполномоченному по защите прав предпринимателей Казахстана, омбудсмену в случаях, предусмотренных настоящим Кодексом и иными законами Республики Казахстан.

Статья 304. Защита прав в арбитраже

1. Если иное не установлено законами Республики Казахстан, спор, возникший из гражданско-правовых отношений, может быть рассмотрен в арбитраже в порядке, предусмотренном законами Республики Казахстан, при наличии арбитражного соглашения.

2. Для разрешения спора арбитражи могут быть созданы в виде постоянно действующего арбитража или арбитража для разрешения конкретного спора.

3. Организация и порядок деятельности постоянно действующих арбитражей устанавливаются их регламентом и законами Республики Казахстан, международными договорами Республики Казахстан.

4. Если иные требования к организации и порядку деятельности арбитража, создаваемого для разрешения конкретного спора, не установлены законом и международными договорами Республики Казахстан, то они определяются соглашением сторон.

5. Если арбитражное решение не исполнено добровольно в установленный в нем срок, то оно подлежит принудительному исполнению в порядке, предусмотренном Гражданским процессуальным кодексом Республики Казахстан.

Сноска. Статья 304 с изменением, внесенным Законом РК от 08.04.2016 № 489-V (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 305. Защита прав путем применения процедуры медиации

1. Проведение медиации между субъектами предпринимательства осуществляется по взаимному согласию сторон и при заключении между ними договора о медиации.

2. Медиация при урегулировании споров, возникающих из гражданских и иных правоотношений с участием субъектов предпринимательства, может быть применена как до обращения в суд, так и после принятия искового заявления судом.

3. Порядок и условия проведения медиации предусмотрены Законом Республики Казахстан "О медиации".

Статья 306. Защита прав в порядке партисипативной процедуры

1. Субъекты предпринимательства вправе заключить соглашение об урегулировании спора в порядке партисипативной процедуры.

2. Партисипативная процедура проводится без участия судьи путем проведения переговоров между сторонами при содействии урегулированию спора адвокатами обеих сторон.

3. Порядок и условия проведения партисипативной процедуры регулируются Гражданским процессуальным кодексом Республики Казахстан.

Глава 28. УПОЛНОМОЧЕННЫЙ ПО ЗАЩИТЕ ПРАВ ПРЕДПРИНИМАТЕЛЕЙ КАЗАХСТАНА. ИНВЕСТИЦИОННЫЙ ОМБУДСМЕН
Параграф 1. Правовой статус Уполномоченного по защите прав предпринимателей Казахстана

Статья 307. Понятие Уполномоченного по защите прав предпринимателей Казахстана

1. Уполномоченным по защите прав предпринимателей Казахстана является лицо, назначаемое на должность распоряжением Президента Республики Казахстан в целях представления, обеспечения и защиты прав и законных интересов субъектов предпринимательства в государственных органах, а равно в защиту интересов предпринимательского сообщества.

Уполномоченный по защите прав предпринимателей Казахстана подотчетен Президенту Республики Казахстан.

2. Никто не вправе возлагать на Уполномоченного по защите прав предпринимателей Казахстана функции, не предусмотренные настоящим Кодексом. Какое-либо незаконное вмешательство в деятельность Уполномоченного по защите прав предпринимателей Казахстана не допускается.

3. На период осуществления своих полномочий Уполномоченный по защите прав предпринимателей Казахстана приостанавливает свое членство в политических партиях и иных общественных объединениях.

4. Уполномоченный по защите прав предпринимателей Казахстана не вправе заниматься политической деятельностью.

5. Уполномоченный по защите прав предпринимателей Казахстана в установленном порядке в течение месяца после вступления в должность обязан на время занятия своей должности передать в доверительное управление находящиеся в его собственности доли, акции (акцию), доли участия в уставном капитале коммерческих организаций и иное имущество, использование которого влечет получение доходов, за исключением денег, законно принадлежащих этому лицу, а также имущества, переданного в имущественный наем. Уполномоченный по защите прав предпринимателей Казахстана может не передавать в доверительное управление принадлежащие ему облигации, паи открытых и интервальных паевых инвестиционных фондов, а также имеет право получать доход от переданного в доверительное управление имущества и вправе передавать в имущественный наем жилище.

6. Уполномоченный по защите прав предпринимателей Казахстана не может занимать оплачиваемые должности в других организациях, кроме преподавательской, научной или иной творческой деятельности.

Статья 308. Основы деятельности Уполномоченного по защите прав предпринимателей Казахстана

Деятельность Уполномоченного по защите прав предпринимателей Казахстана основывается на:

1) законности;

2) приоритетности защиты прав и законных интересов субъектов предпринимательства;

3) объективности;

4) гласности.

Статья 309. Функции Уполномоченного по защите прав предпринимателей Казахстана

Уполномоченный по защите прав предпринимателей Казахстана в целях представления, обеспечения и защиты прав и законных интересов субъектов предпринимательства, а равно в защиту интересов предпринимательского сообщества:

1) представляет, обеспечивает, защищает права и законные интересы субъектов предпринимательства в государственных органах и иных организациях Республики Казахстан, а также международных организациях и иностранных государствах;

2) рассматривает обращения субъектов предпринимательства;

3) вносит в государственные органы предложения по защите прав субъектов предпринимательства, а также рекомендации по приостановлению подзаконных нормативных правовых актов;

3-1) вносит в уполномоченный орган по предпринимательству предложения по отмене или пересмотру действующих регуляторных инструментов и (или) требований по жалобам субъектов предпринимательства в соответствии с пунктом 3 статьи 82 настоящего Кодекса;

4) направляет в государственные органы (должностным лицам), действиями (бездействием) которых нарушены права и законные интересы субъектов предпринимательства, рекомендации относительно мер для восстановления нарушенных прав, в том числе привлечения лиц, виновных в нарушении прав и законных интересов субъектов предпринимательства, к ответственности;

5) направляет ходатайства в органы прокуратуры в случае несогласия с мнением государственных органов в целях дальнейшего восстановления нарушенных прав предпринимателей;

6) вносит на рассмотрение Президенту Республики Казахстан обращения в случае возникновения фактов системного нарушения прав предпринимателей и невозможности их разрешения на уровне государственных органов;

7) запрашивает у государственных органов (должностных лиц) информацию, документы и материалы, затрагивающие права и обязанности субъектов предпринимательства, за исключением сведений, составляющих государственную, коммерческую, банковскую и иную охраняемую законом тайну;

8) обращается в суд с иском (заявлением) в порядке, установленном законодательством Республики Казахстан;

9) принимает иные законные меры, направленные на восстановление нарушенных прав и законных интересов субъектов предпринимательства.

Сноска. Статья 309 с изменением, внесенным Законом РК от 30.12.2021 № 95-VII (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 310. Обязанности Уполномоченного по защите прав предпринимателей Казахстана

1. При осуществлении деятельности Уполномоченный по защите прав предпринимателей Казахстана обязан:

1) соблюдать Конституцию и законодательство Республики Казахстан;

2) принимать меры по обеспечению соблюдения и защиты прав и законных интересов субъектов предпринимательства;

3) проявлять объективность и беспристрастность при рассмотрении обращений;

4) не совершать каких-либо действий, препятствующих осуществлению прав лица, обратившегося за защитой.

2. Уполномоченный по защите прав предпринимателей Казахстана ежегодно представляет Президенту Республики Казахстан доклад о результатах проделанной работы по защите прав предпринимателей, который размещается в средствах массовой информации.

Статья 311. Порядок рассмотрения обращений Уполномоченным по защите прав предпринимателей Казахстана

1. Уполномоченный по защите прав предпринимателей Казахстана в пределах своей компетенции:

1) рассматривает обращения субъектов предпринимательства (далее – заявителя), за исключением обращений:

которые предварительно не были рассмотрены государственными органами в пределах своих компетенций;

по фактам нарушения прав заявителя другими субъектами частного предпринимательства;

2) информирует заявителей о направлении их обращений в уполномоченные государственные органы и организации;

3) информирует заявителей о результатах рассмотрения их обращений и принятых мерах.

2. Уполномоченный по защите прав предпринимателей Казахстана в течение десяти календарных дней рассматривает обращения заявителей на предмет соответствия требованиям, установленным в подпункте 1) пункта 1 настоящей статьи, в случае несоответствия которым оставляет обращение без рассмотрения, о чем письменно уведомляет заявителя.

3. Обращения заявителей, поступившие в адрес Уполномоченного по защите прав предпринимателей Казахстана, рассматриваются в течение тридцати календарных дней.

4. При необходимости срок рассмотрения обращений, поступивших в адрес Уполномоченного по защите прав предпринимателей Казахстана, продлевается с обязательным информированием заявителя о проводимой работе.

5. По итогам рассмотрения заявителю предоставляется ответ по существу обращения в рамках компетенции Уполномоченного по защите прав предпринимателей Казахстана.

6. Порядок продления сроков рассмотрения обращений, направления в уполномоченные государственные органы и организации, информирования заявителей о ходе рассмотрения обращений устанавливается Уполномоченным по защите прав предпринимателей Казахстана.

Статья 312. Назначение на должность и освобождение от должности Уполномоченного по защите прав предпринимателей Казахстана

1. Лицо, назначаемое на должность Уполномоченного по защите прав предпринимателей Казахстана, должно отвечать следующим требованиям:

1) обладать гражданством Республики Казахстан;

2) иметь высшее образование;

3) обладать стажем работы не менее пяти лет в сфере защиты прав и законных интересов предпринимателей.

2. Уполномоченный по защите прав предпринимателей Казахстана назначается на должность распоряжением Президента Республики Казахстан сроком на четыре года.

3. Уполномоченный по защите прав предпринимателей Казахстана может быть досрочно освобожден от занимаемой должности по решению Президента Республики Казахстан по следующим основаниям:

1) собственное желание;

2) состояние здоровья, препятствующее дальнейшему исполнению профессиональных обязанностей, в соответствии с медицинским заключением;

3) несоблюдение обязанностей и ограничений, установленных настоящим Кодексом;

4) нарушение должностных полномочий, совершение проступков, не совместимых с нахождением на занимаемой должности;

5) выезд на постоянное место жительства за пределы Республики Казахстан.

4. Полномочия Уполномоченного по защите прав предпринимателей Казахстана прекращаются в случаях:

1) прекращения Уполномоченным по защите прав предпринимателей Казахстана гражданства Республики Казахстан;

2) вступления в законную силу решения суда о признании Уполномоченного по защите прав предпринимателей Казахстана недееспособным или ограниченно дееспособным либо о применении к нему принудительных мер медицинского характера;

3) вступления в законную силу обвинительного приговора суда в отношении Уполномоченного по защите прав предпринимателей Казахстана;

4) смерти Уполномоченного по защите прав предпринимателей Казахстана или вступления в законную силу решения суда об объявлении его умершим.

5. Одно и то же лицо не может быть назначено на должность Уполномоченного по защите прав предпринимателей Казахстана более двух раз подряд.

Статья 313. Организация деятельности Уполномоченного по защите прав предпринимателей Казахстана

Деятельность Уполномоченного по защите прав предпринимателей Казахстана обеспечивается Национальной палатой.

Параграф 2. Правовой статус инвестиционного омбудсмена

Статья 314. Инвестиционный омбудсмен

1. Инвестиционным омбудсменом является должностное лицо, назначаемое (определяемое) Правительством Республики Казахстан, на которое возлагаются функции по содействию в защите прав и законных интересов инвесторов.

2. Инвестиционный омбудсмен в своей деятельности руководствуется Конституцией Республики Казахстан, законами Республики Казахстан, актами Президента Республики Казахстан и Правительства Республики Казахстан, иными нормативными правовыми актами Республики Казахстан.

Статья 315. Функции инвестиционного омбудсмена

1. В целях обеспечения и защиты прав и законных интересов инвесторов инвестиционный омбудсмен:

1) рассматривает обращения инвесторов по вопросам, возникающим в ходе осуществления инвестиционной деятельности в Республике Казахстан, и выносит рекомендации для их разрешения, в том числе взаимодействуя с государственными органами;

2) оказывает содействие инвесторам в решении возникающих вопросов во внесудебном и досудебном порядке;

3) вырабатывает и вносит в Правительство Республики Казахстан рекомендации по совершенствованию законодательства Республики Казахстан по вопросам инвестиционной деятельности.

2. Рекомендации инвестиционного омбудсмена оформляются в виде писем и протоколов совещаний у инвестиционного омбудсмена.

3. Инвестиционный омбудсмен проводит консультации с государственными органами и организациями и протокольные встречи для урегулирования вопросов инвесторов, возникающих во внесудебном и досудебном порядках.

4. Инвестиционный омбудсмен в случае, если вопросы инвесторов не могут быть решены в соответствии с законодательством Республики Казахстан, вырабатывает и вносит рекомендации по совершенствованию законодательства Республики Казахстан в Правительство Республики Казахстан.

Статья 316. Права и обязанности инвестиционного омбудсмена

1. Инвестиционный омбудсмен имеет право:

1) запрашивать и получать от государственных органов и организаций независимо от формы собственности необходимую для рассмотрения обращений информацию, за исключением информации, составляющей коммерческую тайну;

2) на безотлагательный прием руководителями и другими должностными лицами государственных органов и организаций;

3) заслушивать руководителей заинтересованных государственных органов и организаций или их заместителей по обращениям инвесторов;

4) иные права, необходимые для осуществления возложенных на инвестиционного омбудсмена функций.

2. При осуществлении своей деятельности инвестиционный омбудсмен обязан:

1) принимать меры по обеспечению соблюдения и защиты прав и законных интересов инвесторов;

2) рассматривать в порядке и сроки, установленные законодательством Республики Казахстан, обращения инвесторов по поводу действий (бездействия) должностных лиц, решений государственных органов, иных организаций и их должностных лиц, а также принимать по ним необходимые меры;

3) быть объективным и беспристрастным при рассмотрении обращений;

4) не совершать каких-либо действий, препятствующих осуществлению прав инвестора, обратившегося за защитой.

Статья 317. Организация деятельности инвестиционного омбудсмена

Деятельность инвестиционного омбудсмена обеспечивается уполномоченным органом по инвестициям.

Положение о деятельности инвестиционного омбудсмена утверждается Правительством Республики Казахстан.

Глава 29. ОБЖАЛОВАНИЕ РЕШЕНИЙ, ДЕЙСТВИЙ (БЕЗДЕЙСТВИЯ) ГОСУДАРСТВЕННЫХ ОРГАНОВ И ДОЛЖНОСТНЫХ ЛИЦ

Статья 318. Обязательность рассмотрения жалобы субъектов предпринимательства

Жалобы, поданные в порядке, установленном законами Республики Казахстан, подлежат обязательному приему, регистрации и рассмотрению. Отказ в приеме жалобы запрещается.

Государственный орган (должностное лицо государственного органа) обязан рассмотреть поданную субъектом предпринимательства жалобу в порядке и сроки, установленные законами Республики Казахстан.

Статья 319. Право на обжалование

1. Решения, действия (бездействие) государственных органов и должностных лиц могут быть обжалованы в установленном законами Республики Казахстан порядке субъектами предпринимательства, если они затрагивают их права и законные интересы.

2. Жалоба подается в тот государственный орган, в компетенцию которого входит ее рассмотрение и принятие по ней решения. Подача жалобы осуществляется в порядке, установленном законами Республики Казахстан.

Сноска. Статья 319 с изменением, внесенным Законом РК от 29.06.2020 № 351-VI (вводится в действие с 01.07.2021).

РАЗДЕЛ 7. ОТВЕТСТВЕННОСТЬ ЗА НАРУШЕНИЕ ЗАКОНОДАТЕЛЬСТВА РЕСПУБЛИКИ КАЗАХСТАН В СФЕРЕ ПРЕДПРИНИМАТЕЛЬСТВА. ПЕРЕХОДНЫЕ И ЗАКЛЮЧИТЕЛЬНЫЕ ПОЛОЖЕНИЯ
Глава 30. ОТВЕТСТВЕННОСТЬ ЗА НАРУШЕНИЕ ЗАКОНОДАТЕЛЬСТВА РЕСПУБЛИКИ КАЗАХСТАН В СФЕРЕ ПРЕДПРИНИМАТЕЛЬСТВА

Статья 320. Ответственность за нарушение законодательства Республики Казахстан в сфере предпринимательства

1. Нарушение законодательства Республики Казахстан в сфере предпринимательства влечет ответственность, установленную законами Республики Казахстан.

2. Государственные органы и их должностные лица несут установленную законами Республики Казахстан ответственность за незаконное распространение и (или) использование информации, составляющей коммерческую тайну, а ущерб, причиненный субъекту предпринимательства в результате такого распространения и (или) использования, подлежит возмещению в соответствии с гражданским законодательством Республики Казахстан.

3. Воспрепятствование законной предпринимательской деятельности влечет ответственность, установленную законами Республики Казахстан.

4. Все убытки, понесенные субъектом предпринимательства вследствие воспрепятствования его законной предпринимательской деятельности, подлежат возмещению в соответствии с гражданским законодательством Республики Казахстан.

Статья 321. Ответственность государственных органов и их должностных лиц за неисполнение или ненадлежащее исполнение своих служебных обязанностей

1. Государственные органы и их должностные лица в случае неисполнения или ненадлежащего исполнения своих служебных обязанностей в процессе взаимодействия субъектов предпринимательства и государства, в том числе при государственном регулировании и поддержке предпринимательства, а также в случае совершения противоправных действий (бездействия) несут ответственность, установленную законами Республики Казахстан.

2. Государственные органы в течение одного месяца обязаны письменно информировать субъект предпринимательства, права и законные интересы которого нарушены, о мерах, принятых в отношении виновных в нарушении законодательства Республики Казахстан должностных лиц государственных органов.

Статья 322. Ответственность за нарушение установленного порядка проверки субъекта предпринимательства

1. Неправомерные действия должностных лиц государственных органов при проведении проверок влекут ответственность, установленную законами Республики Казахстан.

2. Вред, причиненный субъекту предпринимательства государственным органом или его должностным лицом при осуществлении государственного контроля и надзора, подлежит возмещению в соответствии с гражданским законодательством Республики Казахстан.

В объем убытков, предъявляемых к возмещению, в том числе включаются суммы вознаграждений, выплаченных работникам субъектов предпринимательства за подготовку материалов для проверки, заработная плата за время вынужденной остановки производства, упущенная выгода, которую получил бы субъект предпринимательства при реализации соответствующих товаров, работ, услуг, не выпущенных вследствие приостановления производства.

Глава 31. ПЕРЕХОДНЫЕ И ЗАКЛЮЧИТЕЛЬНЫЕ ПОЛОЖЕНИЯ

Статья 323. Порядок применения отдельных норм настоящего Кодекса

1. Льготы, предоставленные на основании инвестиционных контрактов, заключенных с уполномоченным органом по инвестициям до введения в действие Закона Республики Казахстан от 8 января 2003 года "Об инвестициях", сохраняют свое действие до истечения срока, установленного в этих инвестиционных контрактах.

2. Нормы пунктов 3, 4 и 5 статьи 295, пункта 1 статьи 296-2 настоящего Кодекса в части уплаты сумм налогов сохраняют действие по инвестиционным контрактам, заключенным с уполномоченным органом по инвестициям до 1 января 2009 года.

3. Нормы пункта 1 статьи 287 настоящего Кодекса в части освобождения от обложения ввозными таможенными пошлинами лизинговых компаний распространяются на инвестиционные контракты, заключенные с уполномоченным органом по инвестициям с 1 октября 2016 года.

Сноска. Статья 323 с изменениями, внесенными законами РК от 28.12.2016 № 34-VI (вводится в действие с 01.01.2017); от 29.06.2020 № 352-VI (вводится в действие по истечении десяти календарных дней после дня его первого официального опубликования).

Статья 324. Порядок введения в действие настоящего Кодекса

1. Настоящий Кодекс вводится в действие с 1 января 2016 года за исключением:

1) подпункта 2) части второй пункта 2 статьи 36 и подпункта 5) пункта 2 статьи 38 настоящего Кодекса, которые вводятся в действие с 6 февраля 2016 года;

2) части второй пункта 4 статьи 193 настоящего Кодекса, которая вводится в действие с 1 марта 2016 года;

3) заголовка статьи 211 оглавления, статьи 211, подпункта 2) пункта 2 статьи 290 настоящего Кодекса, которые вводятся в действие с 1 января 2017 года;

4) подпункта 19) пункта 2 статьи 3, статьи 22, пункта 2 статьи 58, статьи 62, абзаца пятого части третьей пункта 2 статьи 80 и подпункта 4) пункта 2 статьи 82 настоящего Кодекса, которые вводятся в действие после введения в действие законодательного акта о саморегулировании;

5) положений части третьей пункта 1 статьи 65, статьи 66 настоящего Кодекса в части экспертных заключений по концепциям проектов законов, затрагивающих интересы субъектов предпринимательства, вводятся в действие после введения в действие законодательного акта о правовых актах;

6) подпункта 111) статьи 138 настоящего Кодекса, который вводится в действие после введения в действие законодательного акта о производстве органической продукции.

2. Установить, что заголовки статей 173 и 197 оглавления, подпункты 9), 13) и 14) статьи 88, подпункт 4) пункта 3 статьи 116, подпункт 68) статьи 138, статья 173, подпункт 3) статьи 195, подпункт 2) пункта 6 статьи 196, статья 197, подпункт 6) пункта 1 статьи 292 настоящего Кодекса действуют до 1 января 2017 года.

3. Установить, что заголовок статьи 119 оглавления настоящего Кодекса до 1 января 2017 года излагается в следующей редакции:

"Статья 119. Ценообразование на товары, работы, услуги, производимые и реализуемые субъектами регулируемого рынка".

4. Приостановить до 1 марта 2016 года действие абзаца первого пункта 1 статьи 36 настоящего Кодекса, установив, что в период приостановления данный абзац действует в следующей редакции:

"1. Для государственной регистрации в качестве индивидуального предпринимателя физическое лицо представляет непосредственно в орган государственных доходов или через центр обслуживания населения:".

5. Приостановить до 1 января 2017 года действие подпунктов 7) и 16) статьи 88 настоящего Кодекса, установив, что в период приостановления данные подпункты действуют в следующей редакции:

"7) предупреждает и устраняет злоупотребления доминирующим или монопольным положением на соответствующем товарном рынке, за исключением нарушений, предусмотренных законодательством Республики Казахстан о естественных монополиях и регулируемых рынках;";

"16) выявляет монопольно высокую (низкую), монопсонически низкую цену, установленную субъектом рынка, занимающим доминирующее или монопольное положение, за исключением субъектов рынка, реализующих товары на регулируемых рынках;".

6. Приостановить до 1 марта 2016 года действие подпункта 2) пункта 2 статьи 110 настоящего Кодекса, установив, что в период приостановления данный подпункт действует в следующей редакции:

"2) обжаловать решения, действия (бездействие) разрешительных органов и государственных органов, осуществляющих прием уведомлений, и (или) их должностных лиц, центров обслуживания населения и (или) их работников по вопросам осуществления лицензирования и разрешительных процедур или приема уведомлений в порядке, установленном законодательством Республики Казахстан;".

7. Приостановить до 1 марта 2016 года действие подпункта 4) пункта 3 статьи 111 настоящего Кодекса, установив, что в период приостановления данный подпункт действует в следующей редакции:

"4) предоставлять государственным органам и центрам обслуживания населения документы и (или) информацию, необходимые для осуществления лицензирования и разрешительных процедур, в том числе посредством информационных систем;".

8. Приостановить до 1 января 2017 года действие пунктов 1 и 2 статьи 118 настоящего Кодекса, установив, что в период приостановления данные пункты действуют в следующей редакции:

"1. Тарифообразование на товары, работы, услуги в сфере естественной монополии осуществляется в соответствии с законодательством Республики Казахстан о естественных монополиях и регулируемых рынках.

2. Тарифы (цены, ставки сборов) или их предельные уровни на регулируемые товары, работы, услуги субъекта естественной монополии, утверждаемые уполномоченным органом в сферах естественных монополий и на регулируемых рынках, с учетом качества и надежности производимых товаров, выполняемых работ, оказываемых услуг должны быть не ниже стоимости затрат, необходимых для предоставления регулируемых товаров, работ, услуг, и учитывать возможность получения прибыли, обеспечивающей эффективное функционирование субъекта естественной монополии.".

9. Приостановить до 1 января 2017 года действие статьи 119 настоящего Кодекса, установив, что в период приостановления данная статья действует в следующей редакции:

"Статья 119. Ценообразование на товары, работы, услуги, производимые и реализуемые субъектами регулируемого рынка

1. Государственное регулирование цен распространяется на товары, работы, услуги субъектов регулируемых рынков в области железнодорожного транспорта, электро- и теплоэнергетики, производства нефтепродуктов, транспортировки нефти, гражданской авиации, портовой деятельности, телекоммуникаций и почтовой связи, а также газа с учетом особенностей, установленных Законом Республики Казахстан "О газе и газоснабжении".

Уполномоченный орган, осуществляющий руководство в сферах естественных монополий и на регулируемых рынках, утверждает перечень товаров, работ, услуг субъектов регулируемых рынков, на которые распространяется государственное регулирование цен.

2. В качестве временной меры на определенный срок на территории Республики Казахстан в порядке, определяемом антимонопольным органом, может быть введено государственное ценовое регулирование на отдельных товарных рынках и (или) на товары, работы, услуги отдельных субъектов рынка.

Общий срок применения предусмотренного настоящим пунктом государственного ценового регулирования не может превышать 180 календарных дней в течение одного года.

3. Ценообразование на товары, работы, услуги, производимые и реализуемые субъектами регулируемого рынка, осуществляется в соответствии с законодательством Республики Казахстан о естественных монополиях и регулируемых рынках путем установления предельной цены.".

10. Приостановить до 1 января 2017 года действие пункта 2 статьи 122 настоящего Кодекса, установив, что в период приостановления данный пункт действует в следующей редакции:

"2. Уполномоченный орган в области производства нефтепродуктов по согласованию с уполномоченным органом, осуществляющим руководство в сферах естественных монополий и на регулируемых рынках, в порядке, утвержденном уполномоченным органом в области производства нефтепродуктов, устанавливает предельные цены на розничную реализацию нефтепродуктов, на которые установлено государственное регулирование цен.".

11. Приостановить до 1 января 2017 года действие подпункта 54) статьи 138 настоящего Кодекса, установив, что в период приостановления данный подпункт действует в следующей редакции:

"54) за поступлением налогов и других обязательных платежей в бюджет, а также полнотой и своевременным перечислением обязательных пенсионных взносов, обязательных профессиональных пенсионных взносов в единый накопительный пенсионный фонд и социальных отчислений в Государственный фонд социального страхования;".

12. Приостановить до 1 января 2017 года действие пункта 3 статьи 193 настоящего Кодекса, установив, что в период приостановления данный пункт действует в следующей редакции:

1) с 1 января 2016 года до 1 марта 2016 года:

"3. Реализация исключительного права осуществляется путем создания субъекта государственной монополии. Субъектом государственной монополии может быть только государственное предприятие, созданное Правительством Республики Казахстан либо местными исполнительными органами областей, городов республиканского значения, столицы по решению Правительства Республики Казахстан.";

2) с 1 марта 2016 года по 1 января 2017 года:

"3. Реализация исключительного права осуществляется путем создания субъекта государственной монополии. Субъектом государственной монополии, за исключением Государственной корпорации "Правительство для граждан", может быть только государственное предприятие, созданное Правительством Республики Казахстан либо местными исполнительными органами областей, городов республиканского значения, столицы по решению Правительства Республики Казахстан.".

13. Приостановить на период с 1 марта 2016 года до 1 января 2017 года действие части второй пункта 4 статьи 193 настоящего Кодекса, установив, что в период приостановления данная часть действует в следующей редакции:

"Ограничения, предусмотренные подпунктами 1) и 2) части первой настоящего пункта, не распространяются на Государственную корпорацию "Правительство для граждан".

14. Приостановить до 1 января 2017 года действие подпункта 1) пункта 2 статьи 241 настоящего Кодекса, установив, что в период приостановления данный подпункт действует в следующей редакции:

"1) в порядке и на условиях, предусмотренных законодательством Республики Казахстан, освобождаются от платы за присоединяемую мощность по электроэнергии, тепло-, водоснабжению и канализации с применением законодательства Республики Казахстан о естественных монополиях и регулируемых рынках;".

15. Признать утратившими силу:

1) Закон Республики Казахстан от 31 марта 1998 года "О крестьянском или фермерском хозяйстве" (Ведомости Парламента Республики Казахстан, 1998 г., № 2-3, ст. 26; 2001 г., № 24, ст. 338; 2003 г., № 1-2, ст. 6; № 4, ст. 26; № 24, ст. 178; 2006 г., № 1, ст. 5; № 15, ст. 95; 2007 г., № 9, ст. 67; № 15, ст. 106; № 18, ст. 143; 2008 г., № 24, ст. 129; 2009 г., № 15-16, ст. 76; 2010 г., № 5, ст. 23; 2011 г., № 6, ст. 49; 2013 г., № 14, ст. 72; 2014 г., № 21, ст. 122);

2) Закон Республики Казахстан от 8 января 2003 года "Об инвестициях" (Ведомости Парламента Республики Казахстан, 2003 г., № 1-2, ст. 4; 2005 г., № 9, ст. 26; 2006 г., № 3, ст. 22; 2007 г., № 4, ст. 28; 2008 г., № 15-16, ст. 64; № 23, ст. 114; 2009 г., № 2-3, ст. 18; 2010 г., № 5, ст. 23; 2012 г., № 2, ст. 11; № 6, ст. 46; № 15, ст. 97; № 21-22, ст. 124; 2013 г., № 15, ст. 82; 2014 г., № 11, ст. 64; № 21, ст. 122; № 23, ст. 143);

3) Закон Республики Казахстан от 31 января 2006 года "О частном предпринимательстве" (Ведомости Парламента Республики Казахстан, 2006 г., № 3, ст. 21; № 16, ст. 99; № 23, ст. 141; 2007 г., № 2, ст. 18; № 3, ст. 20; № 17, ст. 136; 2008 г., № 13-14, ст. 57, 58; № 15-16, ст. 60; № 23, ст. 114; № 24, ст. 128, 129; 2009 г., № 2-3, ст. 18, 21; № 9-10, ст. 47, 48; № 11-12, ст. 54; № 15-16, ст. 74, 77; № 17, ст. 82; №18, ст. 84, 86; № 19, ст. 88; № 23, ст. 97; № 24, ст. 125, 134; 2010 г., № 5, ст. 23; № 7, ст. 29; № 15, ст. 71; № 22, ст. 128; № 24, ст. 149; 2011 г., № 1, ст. 2; № 2, ст. 26; № 6, ст. 49; № 11, ст. 102; 2012 г., № 15, ст. 97; № 20, ст. 121; № 21-22, ст. 124; 2013 г., № 1, ст. 3; № 5-6, ст. 30; № 14, ст. 75; № 15, ст. 81; № 21-22, ст. 115; 2014 г., № 1, ст. 4; № 4-5, ст. 24; № 10, ст. 52; № 14, ст. 84; № 16, ст. 90; № 19-I, 19-II, ст. 94, 96; № 21, ст. 122; № 22, ст. 131; № 23, ст. 143; 2015 г., № 8, ст. 42; № 11, ст. 52);

4) Закон Республики Казахстан от 25 декабря 2008 года "О конкуренции" (Ведомости Парламента Республики Казахстан, 2008 г., № 24, ст. 125; 2009 г., № 15-16, ст. 74; 2010 г., № 5, ст. 23; 2011 г., №6, ст. 50; № 11, ст. 102; № 12, ст. 111; 2012 г., № 13, ст. 91; № 14, ст. 95; № 15, ст. 97; 2013 г., № 4, ст. 21; № 10-11, ст. 56; № 14, ст. 72; 2014 г., № 1, ст. 4; № 4-5, ст. 24; № 14, ст. 84; № 19-I, 19-II, ст. 96; № 21, ст. 122; № 23, ст. 143; 2015 г., № 8, ст. 42; № 9, ст. 46);

5) Закон Республики Казахстан от 6 января 2011 года "О государственном контроле и надзоре в Республике Казахстан" (Ведомости Парламента Республики Казахстан, 2011 г., № 1, ст. 1; № 2, ст. 26; № 11, ст. 102; № 15, ст. 120; 2012 г., № 1, ст. 5; № 2, ст. 9, 14; № 3, ст. 21, 25, 27; № 8, ст. 64; № 10, ст. 77; № 11, ст. 80; № 13, ст. 91; № 14, ст. 92, 95; № 15, ст. 97; № 20, ст. 121; № 23-24, ст. 125; 2013 г., № 2, ст. 11; № 10-11, ст. 56; № 14, ст. 72; № 16, ст. 83; № 21-22, ст. 115; № 23-24, ст. 116; 2014 г., № 4-5, ст. 24; № 7, ст. 37; № 8, ст. 49; № 10, ст. 52; № 11, ст. 61, 67; № 14, ст. 84; № 16, ст. 90; № 19-I, 19-II, ст. 96; № 21, ст. 122; № 23, ст. 143; № 24, ст. 144; 2015 г., № 9, ст. 46);

6) Закон Республики Казахстан от 9 января 2012 года "О государственной поддержке индустриально-инновационной деятельности" (Ведомости Парламента Республики Казахстан, 2012 г., № 2, ст. 10; № 14, ст. 92; 2013 г., № 9, ст. 51; № 14, ст. 75; № 15, ст. 81; 2014 г., № 1, ст. 4; № 11, ст. 63; № 19-I, 19-II, ст. 96).

Президент Республики Казахстан

Н. НАЗАРБАЕВ