Unofficial translation
Note!The deadline for submitting reports shall be extended during the period of the state of emergency introduced by Decree of the President of the Republic of Kazakhstan dated March 15, 2020 No. 285 "On the introduction of a state of emergency in the Republic of Kazakhstan" in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 31, 2020 No. 42 (shall come into effect from the date of its first official publication).
In accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics", the Board of the National Bank of the Republic of Kazakhstan HEREBY RESOLVES:
Footnote. Preamble - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated June 29, 2023 No. 42 (shall come into effect ten calendar days after the day of its first official publication).1. To approve:
1) the list of reports of the unified accumulative pension fund in accordance with Annex 1 to this Resolution;
2) the form of the report on the value of pension assets in accordance with Annex 2 to this Resolution;
3) the form of the report on the structure of the investment portfolio of pension assets in accordance with Annex 3 to this Resolution;
4) the form of the report on pension assets under external management, in accordance with Annex 4 to this Resolution;
5) the form of the report on the volume of pension savings and the number of individual pension accounts of contributors (recipients) in accordance with Annex 5 to this Resolution;
6) the form of the report on the volume of pension savings and the number of individual pension accounts of contributors (recipients) by region of the Republic of Kazakhstan (at the place of residence of the contributor (recipient)) in accordance with Annex 6 to this Resolution;
7) the form of the report on pension payments for mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions in accordance with Annex 7 to this Resolution;
8) the form of the report on the volume of payments of pensions and pension savings to workers (family members) of the member states of the Eurasian Economic Union on the territory of the Republic of Kazakhstan in accordance with Annex 8 to this Resolution;
9) the form of the report on securities acquired at the expense of one’s assets, in accordance with Annex 9 to this Resolution;
10) the form of the report on "reverse repo" and repurchase transactions carried out at the expense of own assets, in accordance with Annex 10 to this Resolution;
11) the form of the report on deposits, money and cash equivalents placed at the expense of own assets, in accordance with Annex 11 to this Resolution;
12) the form of the report on investments in the capital of other legal entities in accordance with Annex 12 to this Resolution;
13) the form of the report on completed transactions for the investment of own assets in accordance with Annex 13 to this Resolution;
14) the form of the report on financial instruments of issuers that have defaulted, acquired at the expense of pension assets, in accordance with Annex 14 to this Resolution;
15) the form of the report on the cost of one conventional unit of pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions in accordance with Annex 15 to this Resolution;
16) the form of the report on the cost of one conventional unit of conditional pension liabilities in accordance with Annex 16 to this Resolution;
17) the form of the report on assets and liabilities classified by economic sector (according to the own assets of the unified accumulative pension fund), in accordance with Annex 17 to this Resolution;
18) the form of the report on assets and liabilities classified by economic sector (by pension assets of the unified accumulative pension fund), in accordance with Annex 18 to this Resolution;
19) The rules for reporting by the unified accumulative pension fund in accordance with Annex 19 to this Resolution;
20) the report form on target requirements in accordance with Annex 20 to this resolution;
21) Rules for reporting by the unified accumulative pension fund in accordance with Annex 21 to this resolution.
Footnote. Paragraph 1 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated June 29, 2023 No. 42 (for the order of enforcement, refer to Paragraph 5); as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 25.12.2023 № 97 (shall come into effect from 01.01.2024).2. The Unified Accumulative Pension Fund shall submit to the National Bank of the Republic of Kazakhstan in electronic format:
1) monthly:
reporting provided for in subparagraphs 2) and 4) of paragraph 1 of this Resolution no later than the 7th (seventh) working day of the month following the reporting month, if the unified accumulative pension fund has pension assets transferred to external management - no later than 20 (the twentieth) day of the month following the reporting month;
reporting provided for in subparagraphs 3), 5), 6), 7), 9), 10), 11), 12), 13), 15) and 16) of paragraph 1 of this Resolution, no later than the 7th (seventh) working day of the month, following the reporting month;
2) quarterly:
reporting provided for in subparagraphs 8) and 14) of paragraph 1 of this Resolution no later than the 7th (seventh) working day of the month following the reporting quarter;
reporting provided for in subparagraphs 17) and 18) of paragraph 1 of this Resolution no later than the 25th (twenty-fifth) day of the month following the reporting quarter.
Footnote. Paragraph 2 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 25.12.2023 № 97 (shall come into effect from 01.01.2024).3. Resolution No. 227 of the Board of the National Bank of the Republic of Kazakhstan dated August 27, 2013 “On approval of the list, forms, terms and Rules of reporting by the single pension fund” (registered in the Register of State Registration of Regulatory Legal Acts under No. 8856, published in Kazakhstanskaya Pravda newspaper in No. 8 (27629)) of 15 January 2014 shall be deemed invalid.
4. In accordance with the legislation of the Republic of Kazakhstan, the Department of Research and Statistics (V. Tutushkin) shall:
1) together with the Legal Department (N.V. Sarsenova) provide the state registration of this resolution with the Ministry of Justice of the Republic of Kazakhstan;
2) within ten calendar days from the date of the state registration of this resolution, direct a copy of it in paper and electronic forms in the Kazakh and Russian languages to the Republican State Enterprise with the Right of Economic Management “Republican Center of Legal Information” for official publication and inclusion in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan;
3) place this resolution on the official Internet resource of the National Bank of the Republic of Kazakhstan after its official publication.
5. Within ten calendar days after the state registration of this resolution, the Department for Protection of the Rights of Consumers of Financial Services and External Communications (A. Terentyev) shall direct a copy thereof for official publication in periodicals.
6. Control over the execution of this resolution shall be assigned to the Deputy Chairman of the National Bank of the Republic of Kazakhstan G. Pirmatov.
7. This Resolution shall come into effect upon the expiration of ten calendar days after the day of its first official publication.
Footnote. Paragraph 7 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 29.06.2023 No. 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
| Chairman | |
| of the National Bank | D. Akishev |
"AGREED"
Chairman of the Committee on Statistics
of the Ministry of National Economy
of the Republic of Kazakhstan
_____________________ N. Aidapkelov
September 21, 2017
| Annex 1 to the Resolution of the Board |
|
| of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The List of Reports of the Unified Accumulative Pension Fund
Footnote. Annex 1 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 25.12.2023 № 97 (shall come into effect from 01.01.2024).
The reporting of the unified accumulative pension fund shall include:
1) a report on the value of pension assets;
2) a report on the structure of the investment portfolio of pension assets;
3) a report on pension assets under external management;
4) a report on the volume of pension savings and the number of individual pension accounts (sub-accounts) of contributors (recipients);
5) a report on the volume of pension savings and the number of individual pension accounts (subaccounts) of contributors (recipients) by region of the Republic of Kazakhstan (at the place of residence of the contributor (recipient));
6) a report on pension payments for mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions;
7) a report on the volume of payments of pensions and pension savings to workers (family members) of member states of the Eurasian Economic Union on the territory of the Republic of Kazakhstan;
8) a report on securities acquired at the expense of own assets;
9) a report on "reverse repo" and repo transactions performed at the expense of own assets;
10) a report on deposits, cash and cash equivalents placed at the expense of own assets;
11) a report on investments in the capital of other legal entities;
12) a report on completed transactions to invest own assets;
13) report on financial instruments of defaulted issuers acquired at the expense of pension assets;
14) a report on the cost of one conventional unit of pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions;
15) a report on the cost of one conventional unit of conditional pension liabilities;
16) a report on assets and liabilities classified by economic sectors (based on the assets of the unified pension savings fund);
17) a report on assets and liabilities classified by economic sectors (on pension assets of the unified pension savings fund);
18) a report on payments and return of target savings;
19) a report on target requirements.
| Annex 2 to the Resolution of the Board |
|
| of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on the value of pension assets
Footnote. Annex 2 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 29.06.2023 № 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_PA
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons submitting information: unified pension savings fund
Deadline for submitting the administrative data form: monthly, no later than the 7th (seventh) working day of the month following the reporting month, in the case of pension assets transferred to external management, no later than the 20th (twentieth) day of the month following the reporting month
Form
Table. Value of pension assets
Pension assets formed at the expense of ______________________
(in tenge)
No. | Index | date | date |
1 | 2 | 3 | ... |
1. | Balance on investment accounts at the beginning of the day, including: | ||
1.1. | in tenge | ||
1.2. | in foreign currencies | ||
2. | Received money into investment accounts at the end of the day, including: | ||
2.1. | in tenge | ||
2.2. | in foreign currencies | ||
3. | Money out of investment accounts at the end of the day, including: | ||
3.1. | in tenge | ||
3.2. | in foreign currencies | ||
4. | Balance on investment accounts at the end of the day ((1)+(2)-(3)), including: | ||
4.1. | in tenge | ||
4.2. | in foreign currencies | ||
5. | The amount of assets under external management at the end of the day, including: | ||
5.1. | in tenge | ||
5.2. | in foreign currencies | ||
6. | The value of other assets at the beginning of the day, including: | ||
6.1. | in tenge | ||
6.2. | in foreign currencies | ||
7. | End-of-day value of other assets, including: | ||
7.1. | in tenge | ||
7.2. | in foreign currencies | ||
8. | The total value of financial investments at the beginning of the day, including: | ||
8.1. | derivative financial instruments | ||
9. | Received financial instruments at the end of the day | ||
10. | Out of financial instruments at the end of the day | ||
11. | Total value of financial investments at the end of the day ((8)+(9)-(10)+(12)-(12.4.1)-(12.7)), including: | ||
11.1. | derivative financial instruments | ||
12. | Accrued investment income (expense) at the end of the day, including: | ||
12.1. | income (expenses) associated with receiving interest on financial instruments | ||
12.2. | income (expenses) from changes in the value of securities measured at fair value | ||
12.3. | income (expenses) from changes in the value of other assets | ||
12.4. | income (expenses) from revaluation of foreign currency, including: | ||
12.4.1. | income (expenses) from the revaluation of money in the investment account and other assets | ||
12.4.2. | income (expenses) from the revaluation of financial investments | ||
12.5. | income (expenses) associated with the restoration (formation) of reserves (provisions) to cover possible losses from the depreciation of securities | ||
12.6. | other income (expenses) on financial instruments | ||
12.7. | other income (expenses) not related to financial instruments | ||
13. | Total current value of pension assets at the end of the day ((4)+(5)+(7)+(11)) | ||
14. | Commission fees from pension assets at the end of the day, including: | ||
14.1. | accrued | ||
14.2. | paid | ||
15. | Remaining debt on commission from pension assets | ||
16. | Commission on investment income at the end of the day, including: | ||
16.1. | accrued | ||
16.2. | paid | ||
17. | Remaining debt on commission from investment income | ||
18. | Accrued pension liabilities related to pension assets at the end of the day, including: | ||
18.1. | erroneous (incorrectly credited) amounts | ||
18.2. | payments, transfers and one-time withdrawals | ||
18.3. | other | ||
19. | Fulfilled pension obligations related to pension assets at the end of the day: | ||
19.1. | erroneous (incorrectly credited) amounts from the investment account | ||
19.2. | payments and transfers | ||
19.3. | other | ||
20. | Retained earnings (uncovered loss) | ||
21. | Balance of pension obligations at the end of the day | ||
22. | Balance of amounts in reserve fund accounts at the beginning of the day | ||
23. | Balance of amounts in reserve fund accounts at the end of the day | ||
24. | Total liabilities for pension assets and retained earnings (uncovered loss) at the end of the day ((15)+(17)+(20)+(21)+(23)): | ||
25. | Total value of "net" pension assets at the end of the day ((13)-(24)) |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________ _______________
surname, first name and patronymic (if any) signature, telephone number
The manager or person entrusted with the function of signing the report
__________________________________________ _____________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
| Annex to the report form on the value of pension assets |
Explanation for completion of the form for administrative data
"Report on the value of pension assets" (index – 1-ENPF_PA, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on the value of pension assets" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the Unified Pension Fund. The data in the form shall be indicated in tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. From January 1, 2024, the Form shall be submitted separately for pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions, and for pension assets formed from mandatory pension contributions from the employer.
The line "Pension assets formed on account" shall indicate information on pension assets formed depending on pension contributions: "mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions" and "mandatory pension contributions by the employer."
6. The form shall be completed for each day of the reporting month. The date shall be indicated in the format " dd.mm.yyyy".
7. In lines 1.2., 2.2., 3.2., 4.2., 5.2., 6.2. and 7.2. amounts equivalent to tenge shall be reflected.
8. Information on line 5 shall be indicated in accordance with the data in the Report on pension assets under external management, in accordance with Annex 4 to this Resolution.
9. Assets reflected in lines 7.1. and 7.2. at the end of the reporting period shall be disclosed in a note to the form provided in the information system.
10. When filling out line 9, the information shall be indicated on financial instruments that are valued at actual costs. Costs incurred in completing a transaction (directly related to the acquisition of financial instruments), including fees and commissions paid to agents, consultants, brokers (dealers), stock exchange fees, as well as bank costs for transferring money shall be included in the cost of these financial instruments. The cost of financial instruments also shall include interest accrued for the period before acquisition (if any).
11. When filling out line 10, information about sold or redeemed financial instruments shall be indicated at the actual cost of sale or redemption.
12. Information on line 11 shall be indicated in accordance with the data in the Report on the structure of the investment portfolio of pension assets in accordance with Annex 3 to this Resolution.
13. When filling out line 12.5. reserves (provisions) shall be reflected at the end of the day on the date of its formation (restoration).
14. When filling out lines 12.6. and 12.7. information on other income received and other expenses incurred included in the value of pension assets at the end of the reporting period shall be disclosed in a note to the form provided in the information system.
15. Line 13 shall indicate the cost reflected in the accounting records.
16. Lines 14 and 16 shall indicate the amount of commission.
17. When filling out lines 15 and 17, the balance of the outstanding commission fee shall be indicated on an accrual basis, taking into account the data at the end of the reporting period.
18. In lines 18.2. and 19.2. the amounts of transfers of pension savings to voluntary savings pension funds, to insurance organizations, amounts paid to recipients and other persons, amounts of income tax on pension payments for mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions shall be indicated.
For mandatory employer pension contributions, only the amount of pension payments shall be indicated.
19. When filling out lines 18.3. and 19.3. information on other liabilities included in the value of pension assets at the end of the reporting period shall be disclosed in a note to the form provided in the information system.
20. Lines 22 and 23 are completed from January 1, 2024. Lines 22 and 23 shall indicate the balance of the amount in the reserve fund accounts. These lines shall be filled in only when filling out information on mandatory pension contributions by the employer.
21. If information is missing, the form shall be submitted without completion.
| Annex 3 to the Resolution of the Board |
|
| of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on the structure of the investment portfolio of pension assets
Footnote. Annex 3 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 29.06.2023 № 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_SPPA
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Circle of persons providing information: Unified Accumulative Pension Fund
Deadline for submitting the form for administrative data: monthly, no later than the 7th (seventh) working day of the month following the reporting month
Form
Table 1. Securities purchased using pension assets
Pension assets formed at the expense of ____________________________
No. | Name of the trustee | Name of the issuer | Type of economic activity | Country of the issuer | Type of security | Security identification number |
1 | 2 | 3 | 4 | 5 | 6 | 7 |
1. | Government securities of the Republic of Kazakhstan | |||||
1.1. | x | |||||
... | x | |||||
2. | Non-governmental issue-grade securities of organizations of the Republic of Kazakhstan | |||||
2.1. | second-tier bank securities | |||||
2.1.1. | ||||||
... | ||||||
2.2. | securities of legal entities, except for second-tier banks | |||||
2.2.1. | ||||||
... | ||||||
3. | Securities of foreign countries | |||||
3.1. | x | |||||
... | x | |||||
4. | Non-government securities of non-resident issuers of the Republic of Kazakhstan | |||||
4.1. | x | |||||
... | x | |||||
5. | Securities of international financial organizations | |||||
5.1. | x | |||||
... | x | |||||
6. | Investment fund units | |||||
6.1. | ||||||
... | ||||||
7. | Total: | X |
Table continuation:
Number of securities (pieces) | nominal cost | Payment currency code | The purchase price per security | Period | Purchase price of the security (in tenge) | |||
Currency code | cost of one security (in tenge) | total (in tenge) | net price | date of registration | maturity date | |||
8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 |
Table continuation:
Current value of securities | For information (in tenge): | |||||
total (in tenge) | in currency of par value | including accrued remuneration (in tenge) | formed reserves (provisions) | securities receivables | overdue securities receivables | formed reserves (provisions) for overdue receivables |
17 | 18 | 19 | 20 | 21 | 22 | 23 |
Table continuation:
Category of securities | Security rating | Stock Exchange List Category | Current coupon rate in the portfolio (in percent) | ||
on the date of registration | at the reporting date | on the date of registration | at the reporting date | ||
24 | 25 | 26 | 27 | 28 | 29 |
Table 2. Securities purchased and placed under reverse repo and repo transactions
No. | Name of the trustee | Name of the issuer | Country of the issuer | Type of security | Security identification number | Number of securities (pieces) | Par value currency code | Transaction currency code |
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 |
1 | Reverse repo operation | |||||||
1.1. | direct method | |||||||
1.1.1. | ||||||||
... | ||||||||
1.2. | automatic way | |||||||
1.2.1. | ||||||||
... | ||||||||
Total: | ||||||||
2 | Repo operation | |||||||
2.1. | direct method | |||||||
2.1.1. | ||||||||
... | ||||||||
2.2 | automatic way | |||||||
2.2.1. | ||||||||
... | ||||||||
Total: |
Table continuation:
Opening price per security | Closing price per security | Period | Current value of securities (in tenge) | Rate of return on the operation (in percent) | Note | |||
in tenge | in currency of par value | in tenge | in currency of par value | operation opening date | transaction closing date | |||
10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 |
Table 3. Deposits placed at the expense of pension assets
No. | Name of the trustee | Name of the bank | Bank rating | Deposit currency code | Date of conclusion and number of the bank deposit agreement | ||
on the date of deposit placement | at the reporting date | date | number | ||||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
Total: | |||||||
Table continuation:
Deposit term (in days) | Remuneration period | Interest rate (in percent per annum) | The principal amount on deposit | |||
periodicity | date | nominal | effective | total (in tenge) | in foreign currency | |
9 | 10 | 11 | 12 | 13 | 14 | 15 |
Table continuation:
Current value | Country of residence | For information (in tenge): | |||||
total (in tenge) | including accrued remuneration | formed reserves | accounts receivable on deposits | overdue accounts receivable on deposits | formed reserves (provisions) for overdue receivables | ||
in tenge | in foreign currency | ||||||
16 | 17 | 18 | 19 | 20 | 21 | 22 | 23 |
Table 4. Refined precious metals
No. | Name of the trustee | Name of refined precious metal | Number of troy ounces | Payment currency code | The purchase price per troy ounce | Total purchase price | Current value | |||
in tenge | in foreign currency | in tenge | in foreign currency | in tenge | in foreign currency | |||||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 |
Total: | ||||||||||
Table 5. Contingent claims and obligations
No. | Name of the trustee | Name of the type of derivative financial instrument | Underlying asset | Currency code | Security identification number | Amount of claims (liabilities) as of the date of the transaction with a derivative instrument (in tenge) | Current value as of the reporting date (in tenge) |
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
1. | Contingent requirements for derivative financial instruments | ||||||
1.1 | |||||||
1.1.1 | |||||||
... | |||||||
Total: | |||||||
2. | Contingent liabilities on derivative financial instruments | ||||||
2.1 | |||||||
2.1.1 | |||||||
... | |||||||
Total: |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
Email address ______________________________________
Executor __________________________________________
last name, first name and patronymic (if any) signature, telephone number
The manager or person entrusted with the function of signing the report
__________________________________________________
last name, first name and patronymic (if any) signature
Date "______" ______________ 20__
| Annex to the report form on the structure of the investment portfolio of pension assets |
Explanation for completion of the form for administrative data
"Report on the structure of the investment portfolio of pension assets" (index – 1-ENPF_SPPA, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on the structure of the investment portfolio of pension assets" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out by the unified pension savings fund monthly as of the end of the reporting period. The form shall not include data on financial instruments that have been derecognised. The data in the form shall be indicated in tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. From January 1, 2024, the form shall be submitted separately for pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions and for pension assets formed from mandatory pension contributions from the employer.
The line "Pension assets formed on account" shall indicate information on pension assets formed depending on pension contributions: "mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions" and "mandatory pension contributions by the employer."
6. According to Table 1:
1) the form shall specify data on securities;
2) column 2 shall indicate the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to which the pension assets have been transferred to trust management;
3) column 3 shall indicate the name of the issuer of the security;
4) in column 4, the type of economic activity shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 03 "General classifier of types of economic activity." This column shall be filled in for non-government securities of resident issuers of the Republic of Kazakhstan;
5) column 6 shall indicate the type of security purchased, indicating its type;
6) column 7 shall indicate the national identification number (NIN) international identification number (ISIN code) or other security identifier;
7) column 8 shall indicate the number of securities purchased;
8) in columns 9 and 11, currency codes shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for representing currencies and funds";
9) in column 10 for bonds, the monetary value of the bond, determined at the time of its issue, shall be indicated, on which interest is calculated on the coupon bond, expressed as a percentage, as well as the amount to be paid to the bond holder upon its redemption. The amount shall be indicated in the currency of the issue;
10) columns 12 and 13 shall indicate the price reflected in the primary document that confirms the transaction (exchange certificate, broker and (or) dealer report, confirmation received through the international interbank information transfer and payment system SWIFT. Column 13 shall indicate: for debt securities the net price as a percentage of the nominal value, for equity securities - in absolute value;
11) column 14 shall reflect the date of initial recognition in accounting;
12) column 15 shall indicate the date of repayment of debt securities;
13) Column 16 shall indicate the purchase price of the security, including expenses directly related to the acquisition, including fees and commissions paid to agents, consultants, brokers and (or) dealers, stock exchange fees, as well as bank transfer services and reduced by interest paid by the buyer to the seller (if any);
14) column 17 shall indicate the value of securities reflected in the accounting records;
15) column 20 shall indicate the amount of reserves (provisions) reflected in the accounting records;
16) column 21 shall indicate the amount of receivables for securities subject to payment within the period established by the issue prospectus;
17) column 22 shall indicate overdue receivables for securities that have not been paid within the period stipulated by the issue prospectus;
18) column 23 shall indicate the amount of reserves (provisions) for receivables and overdue debts reflected in the accounting records;
19) column 24 shall indicate the category of security "valued at fair value", "valued at amortized cost";
20) when filling out columns 25 and 26, the following shall be reflected: the security rating for bonds, the issuer rating for shares, the country rating for government securities assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 "On establishing a minimum rating for legal entities and countries, the need for which is required in accordance with the legislation of the Republic of Kazakhstan regulating the 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, the list of rating agencies assigning this rating", registered in the State Register of Normative Legal Acts under No. 8318 (hereinafter referred to as Resolution No. 385). In case of the absence of a rating, columns 25 and 26 shall indicate "no rating." These columns shall not be filled in for government securities of the Republic of Kazakhstan. Column 25 shall reflect the rating as of the date of initial recognition in accounting;
21) in columns 27 and 28 the category of securities of residents of the Republic of Kazakhstan shall be indicated according to the official list of the stock exchange of the Republic of Kazakhstan. If there is no category of the list of the stock exchange of the Republic of Kazakhstan, "no listing" shall be indicated in columns 27 and 28. These columns shall not be filled in for securities of non-residents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan. Column 27 shall reflect the category of the stock exchange list as of the date of initial recognition in accounting;
22) Column 29 shall indicate the coupon rate on debt financial instruments as of the date of submission of the Form.
7. According to Table 2:
1) column 2 shall indicate the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to which the pension assets have been transferred to trust management;
2) column 5 shall indicate the type of security acquired (placed) under reverse repo transactions (repo), indicating its type;
3) column 6 shall indicate the national identification number (NIN) international identification number (ISIN code) or other security identifier;
4) column 7 shall indicate the number of securities purchased (placed) under reverse repo transactions (repo);
5) in columns 8 and 9, currency codes shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for representing currencies and funds";
6) in columns 10 and 11 the price shall be indicated, with an accuracy of four decimal places, reflected in the primary document, which confirms the implementation of the reverse repo transaction (repo). In the case of payment for an acquired (placed) security in foreign currency, columns 11 and 13 shall be filled in, while simultaneously reflecting the equivalent in national currency - tenge in columns 10 and 12; in case of payment for an acquired (placed) security in national currency - tenge, columns 10 and 12;
7) column 16 shall indicate the cost reflected in the accounting records.
8. According to Table 3:
1) column 2 shall indicate the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to which the pension assets have been transferred to trust management;
2) when filling out columns 4 and 5, the bank rating assigned by one of the rating agencies specified in paragraph 3 of Resolution No. 385 shall be reflected. In case of the absence of a rating, "no rating" shall be indicated in columns 4 and 5. These columns shall not be filled in for deposits in the National Bank of the Republic of Kazakhstan;
3) in column 6, currency codes shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for representing currencies and funds";
4) column 9 shall indicate the term of the deposit under the bank deposit agreement; when extending the deposit, the term shall be reflected taking into account the extension;
5) in columns 10 and 11, the date and frequency of payment of accumulated remuneration shall be indicated in accordance with the terms of the bank deposit agreement;
6) columns 14 and 15 shall indicate the amount of pension assets placed on deposit in the bank. If pension assets are placed on deposit in foreign currency, column 15 shall be filled in, while the equivalent in national currency - tenge shall be reflected in column 14; in case pension assets are placed on deposit in national currency - tenge, column 14 shall be filled in;
7) column 16 shall indicate the value of deposits reflected in the accounting records;
8) column 20 shall indicate the amount of reserves (provisions) reflected in the accounting records;
9) column 21 shall indicate the number of accounts receivable on deposits;
10) column 22 shall indicate overdue accounts receivable on deposits;
11) column 23 shall indicate the amount of reserves (provisions) for receivables and overdue debts reflected in the accounting records;
12) Table 3 shall be filled out indicating the amount of deposits separately for each bank and for each deposit currency.
9. According to Table 4:
1) column 2 shall indicate the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to which the pension assets have been transferred to trust management;
2) in column 5, the payment currency code shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for representing currencies and funds";
3) in columns 6 and 8, the purchase price and purchase price shall be indicated at the market exchange rate prevailing on the date of the transaction; in column 11 the amount shall be reflected at the market exchange rate prevailing on the reporting date. In case of purchasing refined precious metal in national currency - tenge, columns 6, 8 and 10 shall be filled in;
4) column 10 shall indicate the amount reflected in the accounting records.
10. According to Table 5:
1) column 2 shall indicate the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to which the pension assets have been transferred to trust management;
2) column 4 shall indicate the underlying asset of the derivative financial instrument (name of the security and its issuer, currency, interest rate, commodity and other underlying assets);
3) column 5 shall indicate the currency of the transaction. The currency code shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for representing currencies and funds";
4) column 6 shall indicate the national identification number (NIN) international identification number (ISIN code) or other security identifier; column 6 shall be filled in if the underlying asset of the derivative financial instrument is a security;
5) Column 7 shall indicate the number of contingent claims and liabilities that are formed during a transaction with derivative instruments, in accordance with the requirements of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 1, 2011 No. 69 "On approval of the Instructions for maintaining accounting records of transactions with pension assets carried out by the unified accumulative pension fund and voluntary accumulative pension funds", registered in the State Register of Normative Legal Acts under No. 7118;
6) Column 8 shall indicate the market value (replacement cost) of the derivative financial instrument, which is:
for purchase transactions - the amount of excess of the current market value of a derivative financial instrument over the nominal contract value of this derivative financial instrument (contingent requirements), the amount of excess of the nominal contract value of a derivative financial instrument over the current market value of this derivative financial instrument (contingent obligations);
for sales transactions - the amount of excess of the nominal contract value of a derivative financial instrument over the current market value of this derivative financial instrument (contingent requirements), the amount of excess of the current market value of a derivative financial instrument over the nominal contract value of this derivative financial instrument (contingent liabilities).
11. If information is missing, the form shall be submitted without completion.
| Annex 4 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on pension assets under external management
Footnote. Annex 4 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 29.06.2023 № 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_A-VNESH
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified accumulative pension fund
Deadline for submitting the form for administrative data: monthly, no later than the 7th (seventh) working day of the month following the reporting month, in the case of pension assets transferred to external management, no later than the 20th (twentieth) day of the month following the reporting month
Form
Table. Pension assets under external management
Pension assets formed at the expense of _______________________
No. | Name of external manager of pension assets | Number and date of the trust management agreement | Estimated period for managing pension assets | Current value of pension assets under management (in tenge) | Note |
1 | 2 | 3 | 4 | 5 | 6 |
Total: |
Name _______________________________________________
Address______________________________________________
Telephone ____________________________________________
Email address _________________________________________
Executor ___________________________ __________________
last name, first name and patronymic (if any) signature, telephone number
The manager or person entrusted with the function of signing the report
_______________________________________ _____________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
| Annex to the report form |
|
| on pension assets under external management |
Explanation for completion of the form for administrative data
"Report on pension assets under external management" (index – 1-ENPF_A-VNESH, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on pension assets under external management" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension fund as of the end of the reporting period. The data in the form shall be indicated in tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. From January 1, 2024, the form shall be submitted separately for pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions and for pension assets formed from mandatory pension contributions from the employer.
The line "Pension assets formed on account" shall indicate information on pension assets formed depending on pension contributions: "mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions" and "mandatory pension contributions by the employer."
6. The form shall be submitted for assets under investment management of a foreign organization that carries out investment portfolio management activities in accordance with the legislation of a foreign state, meeting the requirements of the National Bank of the Republic of Kazakhstan, or transferred into trust management by an investment portfolio manager (hereinafter referred to as the Pension asset manager).
7. The form shall be filled out for each pension asset manager.
8. Column 4 shall indicate the period of management of pension assets under the agreement. If the agreement does not provide for a period for managing pension assets, then the sign "-" shall be indicated in column 4.
9. Column 5 shall indicate the current value of pension assets under management as of the reporting date.
10. If during the reporting period, the pension asset manager transfers the entire amount of pension assets to another manager, or returns them to the unified accumulative pension fund and terminates the contract, then columns 2, 3 and 4 shall indicate information about this pension asset manager on the last day of transfer of assets and liabilities and column 6 shall indicate information about the results of the transferred assets (the amount of pension assets and where this amount was transferred).
11. If information is missing, the form shall be submitted without completion.
| Annex 5 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report
on the volume of pension savings and the number of individual
pension accounts (sub-accounts) of contributors (recipients)
Footnote. Annex 5 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 25.12.2023 № 97 (shall come into effect from January 1, 2024).
Form for administrative data index: 1-ENPF_PV
Frequency: monthly
Reporting period: as of "___" ________ 20 ___
Scope of persons providing information: unified pension savings fund
Deadline for submitting the administrative data form: monthly, no later than the 7th (seventh) working day of the month following the reporting month
Form
Table. Volumes of pension savings and the number of individual pension accounts (subaccounts) of contributors (recipients)
For pension savings held in trust
____________________________________________________________
(name of pension asset manager)
(in thousands of tenge)
Age of contributors (beneficiaries) | Individual pension accounts (subaccounts) of contributors (beneficiaries) | ||||||
on accounting for mandatory pension contributions | |||||||
Men | Women | ||||||
Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension savings | Amount of pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension savings | Amount of pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension savings | ||
1 | 2 | 3 | 4 | 5 | 6 | 7 | |
under 20 years of age | |||||||
21 years of age | |||||||
22 years of age | |||||||
23 years of age | |||||||
24 years of age | |||||||
25 years of age | |||||||
26 years of age | |||||||
27 years of age | |||||||
28 years of age | |||||||
29 years of age | |||||||
30 years of age | |||||||
31 years of age | |||||||
32 years of age | |||||||
33 years of age | |||||||
34 years of age | |||||||
35 years of age | |||||||
36 years of age | |||||||
37 years of age | |||||||
38 years of age | |||||||
39 years of age | |||||||
40 years of age | |||||||
41 years of age | |||||||
42 years of age | |||||||
43 years of age | |||||||
44 years of age | |||||||
45 years of age | |||||||
46 years of age | |||||||
47 years of age | |||||||
48 years of age | |||||||
49 years of age | |||||||
50 years of age | |||||||
51 years of age | |||||||
52 years of age | |||||||
53 years of age | |||||||
54 years of age | |||||||
55 years of age | |||||||
56 years of age | |||||||
57 years of age | |||||||
58 years of age | |||||||
59 years of age | |||||||
60 years of age | |||||||
61 years of age | |||||||
62 years of age | |||||||
63 years of age | |||||||
64 years of age | |||||||
65 years of age | |||||||
66 years of age | |||||||
67 years of age | |||||||
68 years of age | |||||||
69 years of age | |||||||
70 years of age | |||||||
71 years of age | |||||||
72 years of age | |||||||
73 years of age | |||||||
74 years of age | |||||||
75 years of age | |||||||
76 years of age | |||||||
77 years of age | |||||||
78 years of age | |||||||
79 years of age | |||||||
80 years of age | |||||||
81 years of age and older | |||||||
Total | |||||||
Table continuation:
Individual pension accounts (subaccounts) of contributors (beneficiaries) | |||||
on accounting for mandatory professional pension contributions | |||||
Men | Women | ||||
Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension savings | Amount of pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension savings | Amount of pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension savings |
8 | 9 | 10 | 11 | 12 | 13 |
Table continuation:
Individual pension accounts (subaccounts) of contributors (beneficiaries) | |||||
on accounting for voluntary pension contributions | |||||
Men | Women | ||||
Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension savings | Amount of pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension savings | Amount of pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension savings |
14 | 15 | 16 | 17 | 18 | 19 |
Table continuation:
Notional pension accounts for individuals | |||
on accounting for mandatory pension contributions by the employer | |||
Men | Women | ||
Number of conditional pension accounts of individuals | Amount in escrow accounts | Number of conditional pension accounts of individuals | Amount in escrow accounts |
20 | 21 | 22 | 23 |
The amount of pension savings for unidentified contributors is
________ thousand tenge.
The amount of money in the accounts of reserve funds is ________ thousand tenge.
Name ______________________________________________
Address ____________________________________________
Telephone __________________________________________
Email address _______________________________________
Executor _______________________________ ____________
last name, first name and patronymic (if any) signature, telephone number
The manager or person entrusted with the function of signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
| Annex to the report form on the |
|
| volume of pension savings | |
| and the number of individual pension accounts (sub-accounts) of contributors (recipients) |
Explanation for completion of the form for administrative data
"Report on the volume of pension savings and the number of individual pension accounts (sub-accounts) of contributors (recipients)"
(index – 1-ENPF_PV, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on the volume of pension savings and the number of individual pension accounts (sub-accounts) of contributors (recipients)" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension savings fund separately for pension savings held in trust by the National Bank of the Republic of Kazakhstan, and for pension savings held in trust by the investment portfolio manager, as of the end of the reporting period. The data in the form shall be indicated in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded up to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded up to 1000 (thousand) tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. Columns 2, 5, 8, 11, 14 and 17 shall indicate the number of individual pension accounts of contributors (recipients) with pension savings that are in trust management of the National Bank of the Republic of Kazakhstan, and the number of sub-accounts of contributors (recipients) opened as part of an individual pension account and intended for accounting for pension savings transferred to the trust management of the investment portfolio manager, separately for men and women (in the appropriate columns), broken down depending on the age of the contributor (recipient).
6. Columns 3, 6, 9, 12, 15 and 18 shall indicate the amount of pension savings on individual pension accounts of contributors (recipients) who have pension savings that are in trust management of the National Bank of the Republic of Kazakhstan, and the amount of pension savings on sub-accounts of contributors (recipients)), opened as part of an individual pension account and intended to account for pension savings transferred to the trust management of the investment portfolio manager, separately for men and women (in the appropriate columns), broken down depending on the age of the contributor (recipient).
7. Columns 4, 7, 10, 13, 16 and 19 shall indicate the number of individual pension accounts of contributors (recipients), without pension savings, held in trust by the National Bank of the Republic of Kazakhstan, and the number of sub-accounts of contributors (recipients) opened as part of an individual pension account and intended for accounting for pension savings transferred to the trust management of the investment portfolio manager, without pension savings, separately for men and women, broken down depending on the age of the contributor (recipient).
8. The amount of pension savings for unidentified contributors and the amount of money in reserve fund accounts shall be indicated in the note to the form provided in the information system.
9. If information is missing, the form shall be submitted without completion.
| Annex 6 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
Report on the volume of mandatory pension contributions of the employer and the number of conditional pension accounts of individuals
Footnote. Annex 6 was excluded by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 22.02.2021 № 10 (shall come into effect ten calendar days after the day of its first official publication).
| Annex 6 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on the volume of pension savings and the number of individual
pension accounts (subaccounts) of contributors (recipients) by region of the Republic of Kazakhstan
(at the place of residence of the contributor (recipient))
Footnote. Annex 6 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 25.12.2023 № 97 (shall come into effect from 01.01.2024).
Form for administrative data index: 1-ENPF_PV_OBL
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified accumulative pension fund
Deadline for submitting the form for administrative data: monthly, no later than the 7th (seventh) working day of the month following the reporting month
Form
Table. Volumes of pension savings and the number of individual
pension accounts (sub-accounts) of contributors (recipients) by region
of the Republic of Kazakhstan (at the place of residence of the contributor (recipient)) For pension savings held in trust __________________________________________________________ (name of pension asset manager)
(in thousands of tenge)
No. | Region or city of republican significance | Individual pension accounts (subaccounts) of contributors (beneficiaries) | ||||||
Name | Code according to the classifier of administrative-territorial objects | on accounting for mandatory pension contributions | on accounting for mandatory professional pension contributions | |||||
Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension savings | Amount of pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension savings | Amount of pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension savings | |||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 |
Region not specified | ||||||||
Total | ||||||||
Table continuation:
Individual pension accounts (subaccounts) of contributors (beneficiaries) | Notional pension accounts for individuals | |||||
on accounting for voluntary pension contributions | on accounting for mandatory pension contributions by the employer | |||||
Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension savings | Amount of pension savings | Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension savings | Number of conditional pension accounts of individuals with pension savings | Amount of pension savings | Number of conditional pension accounts of individuals without pension savings | |
10 | 11 | 12 | 13 | 14 | 15 | |
The amount of pension savings for unidentified contributors is ________ thousand tenge.
The amount of money in the accounts of reserve funds is ________ thousand tenge.
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
Explanation for completion of the form for administrative data
"Report on the volume of pension savings and the number of individual pension accounts (sub-accounts)
of contributors (recipients) by region of the Republic of Kazakhstan (at the place of residence of the contributor (recipient))"
(index – 1-ENPF_PV_OBL, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on the volume of pension savings and the number of individual pension accounts (sub-accounts) of contributors (recipients) by region of the Republic of Kazakhstan (at the place of residence of the contributor (recipient))" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension savings fund separately for pension savings held in trust by the National Bank of the Republic of Kazakhstan, and for pension savings held in trust by the investment portfolio manager, as of the end of the reporting period. The data in the form shall be indicated in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded up to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded up to 1000 (thousand) tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. Column 2 shall indicate the code of the region (city of republican significance) in accordance with the classifier of administrative-territorial objects (CATO), posted on the official Internet resource of the Bureau of National Statistics of the Agency for Strategic Planning and Reforms of the Republic of Kazakhstan.
6. Columns 4, 7 and 10 shall indicate the number of individual pension accounts of contributors (recipients) having pension savings that are in trust management of the National Bank of the Republic of Kazakhstan, and the number of sub-accounts of contributors (recipients) opened as part of an individual pension account and intended for accounting pension savings transferred to the trust management of the investment portfolio manager, broken down depending on the place of residence of the contributor (recipient).
7. Columns 5, 8 and 11 shall indicate the amount of pension savings on individual pension accounts of contributors (recipients) with pension savings that are in trust management of the National Bank of the Republic of Kazakhstan, and the amount of pension savings on sub-accounts of contributors (recipients) opened as part of an individual pension account and intended for accounting for pension savings transferred to the trust management of the investment portfolio manager, broken down depending on the place of residence of the contributor (recipient).
8. Columns 6, 9 and 12 shall indicate the number of individual pension accounts of contributors (recipients), without pension savings, held in trust by the National Bank of the Republic of Kazakhstan, and the number of sub-accounts of contributors (recipients) opened as part of an individual pension account and intended for accounting pension savings transferred to the trust management of the investment portfolio manager, without pension savings, broken down depending on the place of residence of the contributor (recipient).
9. The amount of pension savings for unidentified contributors and the amount of money in reserve fund accounts shall be indicated in the note to the form provided in the information system.
10. If information is missing, the form shall be submitted without completion.
| Annex 7 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
Report on the volume of pension savings and the number of individual pension accounts of contributors (recipients) of voluntary pension contributions
Footnote. Annex 7 was excluded by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 22.02.2021 № 10 (shall come into effect ten calendar days after the day of its first official publication).
| Annex 7 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on pension payments for mandatory pension contributions,
mandatory professional pension contributions, voluntary pension contributions
Footnote. Annex 13 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 29.06.2023 № 42 (shall come into effect ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_Vyplaty
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified accumulative pension fund
Deadline for submitting the administrative data form: monthly, no later than the 7th (seventh) working day of the month following the reporting month
Form
Table. Pension payments for mandatory pension contributions, mandatory
professional pension contributions, voluntary pension contributions
(in thousands of tenge)
Line code | Title of articles | For the period since the beginning of this year | For the same period of the previous year | ||||
number of contributors (recipients) | number of payments | sum | number of contributors (recipients) | number of payments | sum | ||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
100 | Payments of pension savings | ||||||
due to: | |||||||
101 | mandatory pension contributions: | ||||||
102 | according to the age | ||||||
including the countries of the Eurasian Economic Union (hereinafter referred to as the EAEU): | |||||||
1021 | |||||||
... | |||||||
103 | on disability | ||||||
including for the EAEU countries: | |||||||
1031 | |||||||
... | |||||||
104 | due to departure from the Republic of Kazakhstan | ||||||
105 | to the heirs | ||||||
including for the EAEU countries: | |||||||
1051 | |||||||
... | |||||||
106 | for burial | ||||||
107 | other persons | ||||||
108 | to improve living conditions | ||||||
109 | to pay for treatment | ||||||
due to: | |||||||
200 | mandatory professional pension contributions: | ||||||
201 | according to the age | ||||||
including for the EAEU countries: | |||||||
2011 | |||||||
... | |||||||
202 | on disability | ||||||
including for the EAEU countries: | |||||||
2021 | |||||||
... | |||||||
203 | due to departure from the Republic of Kazakhstan | ||||||
204 | to the heirs | ||||||
including for the EAEU countries: | |||||||
2041 | |||||||
... | |||||||
205 | for burial | ||||||
206 | other persons | ||||||
207 | to improve living conditions | ||||||
208 | to pay for treatment | ||||||
due to: | |||||||
300 | voluntary pension contributions: | ||||||
301 | upon reaching the age of fifty | ||||||
including for the EAEU countries: | |||||||
3011 | |||||||
... | |||||||
302 | on disability | ||||||
including for the EAEU countries: | |||||||
3021 | |||||||
... | |||||||
303 | due to departure from the Republic of Kazakhstan | ||||||
304 | to the heirs | ||||||
including for the EAEU countries: | |||||||
3041 | |||||||
... | |||||||
305 | for burial | ||||||
306 | other persons | ||||||
400 | transfer of pension savings to an insurance organization | ||||||
due to: | |||||||
401 | mandatory pension contributions: | ||||||
402 | according to the age | ||||||
403 | on disability | ||||||
404 | when concluding a pension annuity agreement | ||||||
405 | in case of insufficient pension savings due to mandatory professional pension contributions | ||||||
due to: | |||||||
500 | mandatory professional pension contributions: | ||||||
501 | according to the age | ||||||
502 | on disability | ||||||
503 | when concluding a pension annuity agreement | ||||||
504 | in case of insufficient pension savings due to mandatory pension contributions | ||||||
due to: | |||||||
600 | voluntary pension contributions: | ||||||
601 | according to the age | ||||||
602 | on disability | ||||||
603 | in case of insufficient pension savings due to mandatory pension contributions | ||||||
604 | in case of insufficient pension savings due to mandatory professional pension contributions | ||||||
700 | Other pension benefits | ||||||
1000 | Total | ||||||
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
| Annex to the report form on pension payments for mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions |
Explanation for completion of the form for administrative data
"Report on pension payments for mandatory pension contributions, mandatory professional pension contributions,
voluntary pension contributions" (index – 1-ENPF_Vyplaty, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on pension payments for mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension fund as of the end of the reporting period. The data in the form shall be indicated in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded up to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded up to 1000 (thousand) tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. Column 3 shall indicate the number of contributors (recipients) from whose accounts payments have been made for the period since the beginning of the year (cumulative total).
6. Column 4 shall indicate the number of payments made to contributors (recipients) for the period since the beginning of the year (cumulative total). Information on the number of payments shall be reflected based on payments (transactions) made to contributors (recipients).
7. Column 5 shall indicate the amount of payments for the period since the beginning of the year (cumulative total).
8. Column 6 shall indicate the number of contributors (recipients) from whose accounts payments have been made for the same period of the previous year.
9. Column 7 shall indicate the number of payments made to contributors (recipients) for the same period of the previous year. Information on the number of payments shall be reflected based on payments (transactions) made to contributors (recipients).
10. Column 8 shall indicate the amount of payments for the same period of the previous year.
11. In lines with codes 405, 504, 603 and 604, the number of contributors (recipients) shall be reflected for reference and shall not be summed up in lines with codes 401, 500 and 600.
12. If information is missing, the form shall be submitted without completion.
| Annex 8 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
Report on the volume of pension savings and the number of individual pension accounts of contributors (recipients) of mandatory professional pension contributions
Footnote. Annex 8 was excluded by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 22.02.2021 № 10 (shall come into effect ten calendar days after the day of its first official publication).
| Annex 8 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on the volume of pension payments and pension savings to workers
(family members) of the member states of the Eurasian Economic Union on the territory of the Republic of Kazakhstan
Footnote. The Resolution has been supplemented with Annex 13-1 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 21.06.2021 № 60 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication); as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 29.06.2023 № 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_Vyplaty_EEK
Frequency: quarterly
Reporting period: as of "__" ________ 20 ___
Scope of persons submitting information: unified pension savings fund
Deadline for submitting the form for administrative data: quarterly, no later than the 7 (seventh) working day of the following month for the reporting quarter
Form
Table. Volumes of pension payments and pension savings to workers (family members) of member states of the Eurasian Economic Union on the territory of the Republic of Kazakhstan
(in thousands of tenge)
Line code | Title of articles | For the period since the beginning of this year | For the same period of the previous year | ||||
number of contributors (recipients) | number of payments | sum | number of contributors (recipients) | number of payments | sum | ||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
100 | Payments of pension savings | ||||||
101 | according to the age | ||||||
including for the countries of the Eurasian Economic Union (hereinafter referred to as the EAEU): | |||||||
1011 | |||||||
... | |||||||
102 | on disability | ||||||
including for the EAEU countries: | |||||||
1021 | |||||||
... | |||||||
103 | to the heirs | ||||||
including for the EAEU countries: | |||||||
1031 | |||||||
... | |||||||
104 | Other pension payments | ||||||
including for the EAEU countries: | |||||||
1041 | |||||||
... | |||||||
1000 | Total | ||||||
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
Explanation for completion of the form for administrative data
"Report on the volume of pension payments and pension savings to workers (family members) of the member states
of the Eurasian Economic Union on the territory of the Republic of Kazakhstan" (index – 1-ENPF_Vyplaty_EEK, frequency – quarterly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on the volume of payments of pensions and pension savings to workers (family members) of the member states of the Eurasian Economic Union on the territory of the Republic of Kazakhstan" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out quarterly by the unified pension fund as of the end of the reporting period. The data in the form shall be indicated in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded up to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded up to 1000 (thousand) tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. Column 3 shall indicate the number of contributors (recipients) to whom payments have been made for the period since the beginning of the year (cumulative total).
6. Column 4 shall indicate the number of payments made to contributors (recipients) for the period since the beginning of the year (cumulative total). Information on the number of payments shall be reflected based on payments (transactions) made to contributors (recipients).
7. Column 5 shall indicate the amount of payments for the period since the beginning of the year (cumulative total).
8. Column 6 shall indicate the number of contributors (recipients) to whom payments have been made for the same period of the previous year.
9. Column 7 shall indicate the number of payments made to contributors (recipients) for the same period of the previous year. Information on the number of payments shall be reflected based on payments (transactions) made to contributors (recipients).
10. Column 8 shall indicate the amount of payments for the same period of the previous year.
11. If information is missing, the form shall be submitted without completion.
| Annex 9 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on securities acquired using own assets
Footnote. Annex 15 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 06.29.2023 № 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_CBSA
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified pension savings fund
Deadline for submitting the form for administrative data: monthly, no later than the 7 (seventh) working day of the following month for the reporting month
Form
Table. Securities purchased using own assets
(in thousands of tenge)
No. | Name of the issuer | Country of the issuer | Type of security | Security identification number | Number of securities (pieces) | ||
Total | including encumbered securities and securities that are the subject of repo transactions | ||||||
Total | including securities that are the subject of repo transactions | ||||||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
1. | Government securities of the Republic of Kazakhstan | ||||||
1.1. | |||||||
... | |||||||
2. | Non-governmental issue-grade securities of organizations of the Republic of Kazakhstan | ||||||
2.1. | second-tier bank securities | ||||||
2.1.1. | |||||||
... | |||||||
2.2. | securities of legal entities, except for second-tier banks | ||||||
2.2.1. | |||||||
... | |||||||
3. | Securities of foreign countries | ||||||
3.1. | |||||||
... | |||||||
4. | Non-government securities of non-resident issuers of the Republic of Kazakhstan | ||||||
4.1. | |||||||
... | |||||||
5. | Securities of international financial organizations | ||||||
5.1. | |||||||
... | |||||||
6. | Investment fund units | ||||||
6.1. | |||||||
... | |||||||
7. | Total | ||||||
Table continuation:
nominal cost | Payment currency code | The purchase price per security | Period | Purchase price of a security | ||
currency code | cost of one security | date of registration | maturity date | |||
9 | 10 | 11 | 12 | 13 | 14 | 15 |
Table continuation:
Book value of securities | Security rating | ||||||||
Total | including for securities with encumbrances and securities that are the subject of repo transactions | For reference: formed reserves (provisions) | Accounting category | on the date of registration | at the reporting date | ||||
Total | discount, bonus | accrued remuneration | positive (negative) adjustment | Total | including for securities that are the subject of repo transactions | ||||
16 | 17 | 18 | 19 | 20 | 21 | 22 | 23 | 24 | 25 |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
| Annex to the report form on securities acquired at the expense of one’s assets |
Explanation for completion of the form for administrative data
"Report on securities acquired at the expense of one’s assets" (index – 1-ENPF_CBSA, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on securities acquired through own assets" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension fund as of the end of the reporting period. The data in the Form shall be indicated in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded up to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded up to 1000 (thousand) tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. The form shall specify data on securities and rights of claim under the issuer’s obligations under issue-grade securities. Contributory receipts shall indicate information about its underlying asset.
6. Columns 2 and 3 shall indicate the name of the issuer of the security and the country of his residence.
7. Column 4 shall indicate the type of security purchased, indicating its type.
8. Column 5 shall indicate the national identification number (NIN) international identification number (ISIN code) or other security identifier, concerning the rights of claim under the obligations of the issuer for issue-grade securities, the circulation period of which has expired, and the issuer has not fulfilled its obligations under them repayment – identifier of claim rights.
9. Column 6 shall indicate the number of securities purchased.
10. In columns 9 and 11, currency codes shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for representing currencies and funds."
11. Column 10 shall indicate the monetary value of the bond, determined at the time of its issue, on which interest is calculated on the coupon bond, expressed as a percentage, as well as the amount to be paid to the bondholder upon its redemption. The amount shall be indicated in the currency of the issue. Column 10 shall be filled in for debt securities.
12. Column 12 shall indicate the price reflected in the primary document that confirms the transaction (exchange certificate, broker and (or) dealer report, confirmation received through the international interbank information transfer and payment system SWIFT.
13. Column 13 shall indicate the date of initial recognition in accounting, in the format " dd.mm.yyyy ".
14. Column 14 shall indicate the maturity date of debt securities, in the format " dd.mm.yyyy ".
15. Column 15 shall indicate the purchase price of securities, including expenses directly related to the acquisition, including fees and commissions paid to agents, consultants, brokers (dealers), stock exchange fees, as well as banking transfer services and reduced by the amount paid by the buyer to the seller of interest (if any).
16. Column 16 shall indicate the value of securities reflected in the accounting records.
17. Column 20 shall indicate the value of encumbered securities and securities that are the subject of repo transactions, in thousands of tenge, indicated in the accounting records.
18. Column 21 shall indicate the value of securities that are the subject of repo transactions, in thousands of tenge, indicated in the accounting records.
19. Column 22 shall indicate the amount of reserves (provisions) formed in accordance with international financial reporting standards. The amount of reserves (provisions) shall be indicated in absolute terms with a plus sign.
20. In column 23, the following symbols shall be indicated as a security category:
1 – "available for sale",
2 – "accounted for at fair value through profit or loss",
3 – "held to maturity".
21. When filling out columns 24 and 25, the following shall be indicated: the security rating for bonds, the issuer rating for shares, the country rating for government securities assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 "On establishing a minimum rating for legal entities and countries, the need for which is required in accordance with the legislation of the Republic of Kazakhstan regulating the 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, the list of rating agencies assigning this rating", registered in the State Register of Normative Legal Acts under No. 8318. In case of absence of rating, "no rating" shall be indicated in columns 24 and 25. These columns shall not be filled in for government securities of the Republic of Kazakhstan.
22. If information is missing, the form shall be submitted without completion.
| Annex 10 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
Report on the volume of mandatory pension contributions of the employer
and the number of conditional pension accounts of individuals by region
of the Republic of Kazakhstan (at the place of residence of the individual)
Footnote. Appendix 10 was excluded by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 02.22.2021 № 10 (shall come into effect ten calendar days after the day of its first official publication).
| Annex 10 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on "reverse repo" and repo transactions performed at the expense of own assets
Footnote. Annex 16 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated June 29, 2023 № 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_REPO_SA
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified pension savings fund
Deadline for submitting the administrative data form: monthly, no later than the 7th (seventh) working day of the month following the reporting month
Form
Table. "Reverse repo" and repo operations performed at the expense of own assets
(in thousands of tenge)
No. | Name of the issuer | Country of the issuer | Type of security | Security identification number | Number of securities | Par value currency code | Period | |
operation opening date | transaction closing date | |||||||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 |
1. | Reverse repo operations | |||||||
1.1. | direct method | |||||||
1.1.1. | ||||||||
... | ||||||||
1.2. | automatic way | |||||||
1.2.1. | ||||||||
... | ||||||||
2. | Repo transactions | |||||||
2.1. | direct method | |||||||
2.1.1. | ||||||||
... | ||||||||
2.2. | automatic way | |||||||
2.2.1. | ||||||||
... | ||||||||
Table continuation:
Duration of operation in days | Remuneration rate | Book value | For reference: formed reserves | Security rating | Stock Exchange List Category | ||
on the date of the transaction | at the reporting date | on the date of the transaction | at the reporting date | ||||
10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
| Annex to the report form on "reverse repo" and repo transactions performed at the expense of own assets |
Explanation for completion of the form for administrative data
"Report on "reverse repo" and repo transactions made at the expense of own assets"
(index - 1-ENPF_REPO_SA, frequency - monthly)
Chapter 1. General provisions
1. This clarification shall define uniform requirements for filling in the form for administrative data "Report on reverse repo and repo transactions performed at the expense of own assets" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension fund as of the end of the reporting period. The data in the form shall be indicated in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded up to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded up to 1000 (thousand) tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. Column 4 shall indicate the type of security transferred and (or) acquired under repo and (or) "reverse repo" transactions, indicating its type.
6. Column 5 shall indicate the national identification number (NIN) international identification number (ISIN code) or other security identifier.
7. Column 6 shall indicate the number of securities transferred and (or) acquired under repo and (or) "reverse repo" transactions.
8. In column 7, currency codes shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for representing currencies and funds."
9. When filling out columns 14 and 15, the security rating for bonds, the issuer rating for shares, and the country rating for government securities assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 shall be reflected. "On establishing a minimum rating for legal entities and countries, the need for which is required in accordance with the legislation of the Republic of Kazakhstan regulating the 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, the list of rating agencies assigning this rating", registered in the State Register of Normative Legal Acts under No. 8318. In case of absence of rating, "no rating" shall be indicated in columns 14 and 15. These columns shall not be filled in for government securities of the Republic of Kazakhstan. Column 14 shall reflect the rating as of the date of initial recognition in accounting.
10. Columns 16 and 17 indicate the category of securities of residents of the Republic of Kazakhstan according to the official list of the stock exchange of the Republic of Kazakhstan. If there is no category of the list of the stock exchange of the Republic of Kazakhstan, "no listing" shall be indicated in columns 16 and 17. These columns shall not be filled in for securities of non-residents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan.
11. If information is missing, the form shall be submitted without completion.
| Annex 11 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
Report on the volume of pension savings
and the number of individual pension accounts of contributors (recipients)
of voluntary pension contributions by region of the Republic of Kazakhstan
(at the place of residence of the contributor (recipient))
Footnote. Annex 11 was excluded by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 02.22.2021 № 10 (shall come into effect ten calendar days after the day of its first official publication).
| Annex 11 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on deposits, cash and cash equivalents placed at the expense of own assets
Footnote. Annex 17 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated June 29, 2023 ; 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_Vklady_SA
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified pension savings fund
Deadline for submitting the form for administrative data: monthly, no later than the 7th (seventh) working day of the month following the reporting month
Form
Table. Deposits, cash and cash equivalents placed at the expense of own assets
(in thousands of tenge)
No. | Name of company | Bank (organization) rating | Currency code | Date of conclusion and number of the bank deposit agreement | Deposit term (in days) | ||
on the date of placement | at the reporting date | date | number | ||||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
1. | Money in the cash register | ||||||
2. | Money in transit | ||||||
2.1. | |||||||
... | |||||||
3. | Money in accounts in second-tier banks | ||||||
3.1. | |||||||
... | |||||||
4. | Money in accounts in organizations carrying out certain types of banking operations | ||||||
4.1. | |||||||
... | |||||||
5. | Other cash and cash equivalents | ||||||
5.1. | |||||||
... | |||||||
6. | Total cash and cash equivalents | ||||||
7. | Demand deposits | ||||||
7.1. | |||||||
... | |||||||
8. | Time deposits in second-tier banks of the Republic of Kazakhstan | ||||||
8.1. | |||||||
... | |||||||
9. | Conditional deposits | ||||||
9.1. | |||||||
... | |||||||
10. | Time deposits in non-resident organizations | ||||||
10.1. | |||||||
... | |||||||
11. | Deposits, total | ||||||
Table continuation:
The interest rate on deposit (in percent per annum) | Amount deposited | Book value | For reference: formed reserves (provisions) | Note | |||
nominal | effective | in tenge | in foreign currency | Total | including accrued interest on the deposit | ||
9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
| Annex to the report form on deposits, cash and cash equivalents placed at the expense of own assets |
Explanation for completion of the form for administrative data
"Report on deposits, money and cash equivalents placed at the expense of own assets" (index – 1-ENPF_Vklady_SA, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on deposits, cash and cash equivalents placed at the expense of own assets" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension fund as of the end of the reporting period. The data in the form shall be indicated in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded up to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded up to 1000 (thousand) tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. When filling out columns 3 and 4, the following shall be indicated: the rating of the bank or organization assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012, No. 385 "On establishing a minimum rating for legal entities and countries, the need for which required in accordance with the legislation of the Republic of Kazakhstan regulating the 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, the list of rating agencies assigning this rating", registered in the State Register of Normative Legal Acts under No. 8318. In case of absence of rating, columns 4 and 5 shall indicate "no rating." These columns shall not be filled in for the National Bank of the Republic of Kazakhstan.
6. Column 5 shall indicate currency codes in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for representing currencies and funds".
7. In columns 5 and 13, lines 1, 2, 3, 4, 5 and 6 shall be filled in.
8. Column 8 shall indicate the term of the deposit under the bank deposit agreement; when extending the deposit, the term shall be indicated taking into account the extension.
9. Columns 11 and 12 indicate the amount of placement of own assets into the deposit. If assets are placed on deposit in tenge, column 11 shall be filled in. If assets are placed on deposit in foreign currency, column 12 shall be filled in, while the equivalent in tenge shall be reflected in column 11. Column 11 shall be filled in in thousands of tenge, and column 12 in thousands of foreign currency units.
10. The form shall be drawn up indicating the amount of deposits and money separately for each currency, bank and organization, as well as for each account and deposit.
11. If information is missing, the form shall be submitted without completion.
| Annex 12 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
Report on the volume of pension savings
and the number of individual pension accounts of contributors (recipients)
of mandatory professional pension contributions by region of the Republic of Kazakhstan
(at the place of residence of the contributor (recipient))
Footnote. Annex 12 was excluded by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 02.22.2021 № 10 (shall come into effect ten calendar days after the day of its first official publication).
| Annex 12 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on investments in the capital of other legal entities
Footnote. Annex 18 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 06.29.2023 No. 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_IKDU
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified pension savings fund
Deadline for submitting the administrative data form: monthly, no later than the 7th (seventh) working day of the month following the reporting month
Form
Table. Investments in the capital of other legal entities
(in thousands of tenge)
No. | Name of the legal entity | Purchase price | Book value | Share in the authorized capital (in percent) | Date of purchase | Note | |
Total | including accrued dividends | ||||||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20____
| Annex to the report form on investments in the capital of other legal entities |
Explanation for completion of the form for administrative data
"Report on investments in the capital of other legal entities" (index – 1-ENPF_IKDU, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on investments in the capital of other legal entities" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension fund as of the end of the reporting period. Data in the form shall be filled in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded up to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded up to 1000 (thousand) tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. The form shall reflect information on the amount of investment of the unified accumulative pension fund in the capital of associated organizations, as well as other legal entities.
6. Column 3 shall reflect the purchase price of the shares as of the date of acquisition.
7. Column 4 shall indicate the book value of investments in the capital of other legal entities, reflected in the accounting records.
8. Column 5 shall indicate the amount of dividends accrued on investments in the capital of other legal entities.
9. Column 7 shall reflect the date of initial recognition in accounting.
10. If information is missing, the form shall be submitted without completion.
| Annex 13 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on completed transactions to invest your assets
Footnote. Annex 19 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated June 29, 2023 No. 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_DEALINGS_SA
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons submitting information: unified pension savings fund
Deadline for submitting the form for administrative data: monthly, no later than the 7th (seventh) working day of the month following for the reporting month
Form
Table 1. Securities purchased using own assets
(in tenge)
No. | Date of conclusion of the transaction (registration of the transaction) | Settlement date for the transaction | Actual settlement date for the transaction | Name of broker and/or dealer | Transaction type | Market |
1 | 2 | 3 | 4 | 5 | 6 | 7 |
Table continuation:
Type of security and name of its issuer | Security identification number | Par value currency code | The nominal value of one security | Number of securities | Payment currency code | Purchase (sale) price per security |
8 | 9 | 10 | 11 | 12 | 13 | 14 |
Table continuation:
Minimum price for one security on the date of the transaction | The maximum price for one security on the date of the transaction | The market price for one security on the date of the transaction | The yield on securities (in percent) | Transaction amount | Counterpartner's name | Counterpartner rating |
15 | 16 | 17 | 18 | 19 | 20 | 21 |
Table 2. Deposits in the National Bank of the Republic of Kazakhstan and second-tier banks
(in tenge)
No. | Date of money transfer | Name of the bank | Deposit transactions | Transaction amount | Date of conclusion and number of the bank deposit agreement | Deposit term (in days) | Interest rate (in percent per annum) | Deposit currency code | Deposit amount |
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
Table 3. Refined precious metals purchased using own assets
(in tenge)
No. | Date of transaction | Contractor's name | Payment for services | Transaction type | Type of refined precious metal | Transaction volume (units) | Payment currency code | Purchase price per unit | Transaction amount |
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
Table 4. Derivative financial instruments acquired using own assets
(in tenge)
No. | Transaction date | Name of broker and/or dealer | Date of registration of financial instruments | Trade settlement date | Type of derivative financial instrument | Security identification number | Market | Underlying asset and its rating | Counterparty and its rating |
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
Table continuation:
Description of the terms of the transaction | Hedged item | Number and date of investment decision | Variation margin on the transaction date, tenge | Initial margin on the transaction date, percent | Trading mode | Note | ||||
Transaction type | Number of financial instruments, pieces | Transaction price, tenge | Transaction amount, thousand tenge | Transaction currency code | ||||||
11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 | 19 | 20 | 21 |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
| Annex to the report form on completed transactions involving the investment of own assets |
Explanation for completion of the form for administrative data
"Report on completed transactions for investing your own assets" (index – 1-ENPF_DEALINGS_SA, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on completed transactions for investing own assets" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension fund for the reporting period (month). The data in the form shall be indicated in tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. According to Table 1:
1) column 6 shall indicate the type of transaction (purchase, sale, redemption, coupon redemption, payment of dividends, reverse repo operation - opening (closing), etc.);
2) column 7 shall indicate the trading organizer in whose trading system the transaction was carried out or that the transaction was made on an unorganized market;
3) Column 8 shall indicate the name of the issuer and the type of securities admitted to trading on the trading platforms of the organizers of securities trading;
4) column 9 shall indicate the national identification number (NIN) international identification number (ISIN code) or other security identifier;
5) in columns 10 and 13, currency codes shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for representing currencies and funds";
6) column 14 shall indicate the price in the payment currency with an accuracy of four decimal places, reflected in the primary document that confirms the transaction (stock exchange certificate, broker-dealer report, confirmation received through the international interbank system for transferring information and making payments SWIFT, taking into account the remuneration paid to the seller. If the primary document does not contain a price expressed in currency, the price expressed as a percentage of the nominal value shall be indicated;
7) columns 15 and 16 shall indicate prices for transactions for the purchase (sale) of shares (contributory receipts) concluded on international (foreign) stock exchanges on which this financial instrument is traded, according to information and analytical systems Bloomberg or REUTER in currency of par value;
8) Column 18 shall indicate the yield on securities as a percentage (for a transaction with a bond - the yield resulting from the alienation or acquisition of an organizer of securities trading in the trading system; for reverse repo transactions - the yield resulting from a transaction in the sector automatic repo);
9) column 19 shall indicate the amount with an accuracy of two decimal places;
10) columns 20 and 21 shall be filled in for transactions concluded on international (foreign) securities markets.
6. According to Table 2:
1) in column 2, in case of making a deposit, the following shall be indicated: the date of transfer of money from the investment account of the unified accumulative pension fund to the current account in the National Bank of the Republic of Kazakhstan or a second-tier bank, or the date of early return or in case of termination of the agreement - the date of return of money to the investment account;
2) column 4 shall indicate deposit transactions (depositing money, paying interest on the deposit, early return of the deposit or return of the deposit upon expiration of the bank deposit agreement);
3) in column 10 the amount shall be indicated with an accuracy of two decimal places.
7. According to Table 3:
1) column 2 shall indicate the date of the transaction (trade date);
2) column 5 shall indicate the type of transaction (purchase, sale, etc.);
3) column 6 shall indicate the name of the types of refined precious metals;
4) in column 8, currency codes shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for representing currencies and funds";
5) in column 10 the amount shall be indicated with an accuracy of two decimal places.
8. According to Table 4:
1) column 2 shall indicate the date of the transaction in the format " dd.mm.yyyy ";
2) column 4 shall indicate the date of initial recognition of financial instruments in accounting in the format " dd.mm.yyyy ";
3) column 5 shall indicate the date of settlement of the transaction in the format " dd.mm.yyyy ";
4) column 6 shall indicate the type of derivative financial instrument (option, futures, forward, swap and other derivative financial instruments);
5) column 7 shall indicate the national identification number (NIN) international identification number (ISIN code) or other security identifier if the underlying asset of the derivative financial instrument is a security;
6) column 8 shall indicate the name of the trading organizer in whose trading system the transaction was carried out, and the country of its residence in the format "name of the stock exchange (country)" or that the transaction was not made on a stock exchange in the format "unorganized market";
7) Column 9 shall indicate the underlying asset of the derivative financial instrument (name of the security and its issuer, currency, interest rate, commodity and other underlying assets) and the rating of the underlying asset assigned by the rating agency (if any) in the format "underlying asset (rating) (rating agency)." If the underlying asset does not have ratings, then the underlying asset shall be indicated and an indication that there is no rating in the format "underlying asset (no rating)";
8) in column 10, if the transaction was not concluded on a stock exchange, the counterparty, its country of residence, as well as the rating assigned to this counterparty in the format "counterparty/country/rating (rating agency)" shall be indicated. If the counterparty does not have a rating, the information shall be indicated in the format "counterparty/country/no rating";
9) column 11 shall indicate the type of transaction (purchase, sale, etc.);
10) in column 16, if the transaction was concluded for hedging, indicate the words "yes" and the details of the hedged object (national identification number (NIN) international identification number (ISIN code) or other security identifier, quantity, value, volume, currency) in the format "yes/details of the hedged item". If the transaction was not concluded for hedging, the word "no" shall be indicated;
11) column 17 shall indicate the number and date of adoption by the investment committee of the investment decision on the transaction;
12) in column 18, if any, the variation margin shall be indicated - the monetary expression of the change in the obligations of the trading participant, calculated by the stock exchange and taking into account the change in the quote of the futures contract;
13) in column 19, if any, the initial margin shall be indicated - the share of the total market value of the underlying asset, determined by the stock exchange, which the client must pay for each open position;
14) column 20 shall indicate the trading mode in the T+0 or T+n format, or describe another trading mode provided for by the rules of the stock exchange;
15) column 21 shall indicate the conditions for the emergence of claims and obligations of the parties to the transaction.
9. If information is missing, the form shall be submitted without completion.
| Annex 14 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on financial instruments of defaulted issuers acquired from pension assets
Footnote. Annex 20 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 29.06.2023 № 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_DEFAULT_PA
Frequency: quarterly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified pension savings fund
Deadline for submitting the form for administrative data: quarterly, no later than the 7th (seventh) working day of the month following the reporting quarter
Form
Table. Financial instruments of defaulted issuers purchased from pension assets
Pension assets formed at the expense of ____________________________
(in tenge)
No. | Name of the issuer | Type of security or deposit agreement number | Security identification number | Claim ID | Number of securities (pieces) | maturity date | Date of derecognition |
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
Total |
Table continuation:
Debt amount | Total debt | Type of settlement and amount of debt | |||
on the principal debt | on remuneration | penalty on the principal debt | penalty on remuneration | ||
9 | 10 | 11 | 12 | 13 | 14 |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20___
| Annex to the report form on financial instruments of defaulted issuers acquired at the expense |
|
| of pension assets |
Explanation for completion of the form for administrative data
"Report on financial instruments of defaulted issuers acquired at the expense of pension assets"
(index – 1-ENPF_DEFAULT_PA, frequency – quarterly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on financial instruments of defaulted issuers acquired from pension assets" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out quarterly by the unified pension fund as of the end of the reporting period. The data in the form shall be indicated in tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. From January 1, 2024, the form shall be submitted separately for pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions and for pension assets formed from mandatory pension contributions from the employer.
The line "Pension assets formed on account" shall indicate information on pension assets formed depending on pension contributions: "mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions" or "mandatory pension contributions by the employer."
6. Column 3 shall indicate the type of security purchased, indicating its type or deposit agreement number.
7. Column 4 shall indicate the national identification number (NIN) international identification number (ISIN code) or other security identifier.
8. Column 5 shall indicate the identifier of the right of claim, if any.
9. Column 6 shall indicate the number of securities purchased.
10. Column 7 shall indicate the maturity date of the financial instrument.
11. Column 8 shall reflect the date of derecognition of the financial instrument in accounting.
12. Column 13 shall be the sum of columns 9, 10, 11 and 12.
13. Column 14 shall indicate the type of debt settlement: rehabilitation (restructuring, bankruptcy, enforcement proceedings, out-of-court settlement), as well as the amount of debts determined by a court decision, in accordance with concluded debt repayment agreements, recognized in the register of creditors’ claims.
14. If information is missing, the form shall be submitted without completion.
| Annex 15 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on the cost of one conventional unit of pension assets formed
from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions
Footnote. The Resolution has been supplemented with Annex 20-1 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 19, 2020 No. 34 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication); as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated June 29, 2023 No. 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF_UEA
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified accumulative pension fund
Deadline for submitting the administrative data form: monthly, no later than the 7th (seventh) working day of the month following the reporting month
Form
Table. The cost of one conventional unit of pension assets
formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions
Pension assets held in trust _____________
(in tenge)
Date | Pension contributions | Transfers from voluntary savings pension funds, trust management from investment portfolio managers and the National Bank of the Republic of Kazakhstan | Penalty received for late transfer of pension contributions and for late investment of pension assets | Payments and transfers, withdrawals for improving housing conditions and (or) payment for treatment, including transfers to the trust management of the investment portfolio manager and the National Bank of the Republic of Kazakhstan | Obligations to return pension contributions and (or) penalties received for late transfer of pension contributions |
1 | 2 | 3 | 4 | 5 | 6 |
Table continuation:
Retained earnings (uncovered loss) | Current value of "net" pension assets | Number of conventional units | Cost of one conventional unit of pension assets | Commission from pension assets | Commission on investment income (loss) | Investment income (loss) on pension assets accrued per day |
7 | 8 | 9 | 10 | 11 | 12 | 13 |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20___
Explanation for completion of the form for administrative data
"Report on the value of one conventional unit of pension assets formed through mandatory pension contributions,
mandatory professional pension contributions and voluntary pension contributions" (index – 1-ENPF_UEA, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on the value of one conventional unit of pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension savings fund separately for pension assets under trust management of the National Bank of the Republic of Kazakhstan, and for pension assets under trust management of the investment portfolio manager. The data in the form shall be indicated in tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. Column 1 shall indicate the date in the format " dd.mm.yyyy ".
6. Column 7 shall indicate the amount of retained profit (uncovered loss) at the end of the first working day of the week and at the end of the last calendar day of the month, to be included in the calculation of the cost of one conventional unit of pension assets, in the manner established by the legislation of the Republic of Kazakhstan on accounting and financial reporting.
7. Column 9 shall indicate the number of conventional units with an accuracy of three decimal places.
8. Column 10 shall indicate the cost of one conventional unit of pension assets with an accuracy of seven decimal places.
9. Columns 11, 12 and 13 shall be filled in for reference.
10. If information is missing, the form shall be submitted without completion.
| Annex 16 to the Resolution of the Board |
|
| of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on the cost of one conventional unit of contingent pension liabilities
Footnote. Annex 16 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 06.29.2023 № 42 (shall come into effect from 01.01.2024).
Form for administrative data index: 1-ENPF_UEO
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified accumulative pension fund
Deadline for submitting the form for administrative data: monthly, no later than the 7 (seventh) working day of the following month for the reporting month
Form
Table. Cost of one conventional unit of conditional pension liabilities
(in tenge)
Date | Pension contributions received | Penalty for late transfer of pension contributions | Payments, accrued | Obligations to return pension contributions and (or) penalties received for late transfer of pension contributions |
1 | 2 | 3 | 4 | 5 |
Table continuation:
Commission on investment income | Present value of contingent pension liabilities | Number of conventional units | Cost of one conventional unit of conditional pension liabilities | Investment income on contingent pension obligations accrued per day |
6 | 7 | 8 | 9 | 10 |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20____
| Annex to the report form on the cost of one conventional unit of conditional pension liabilities |
Explanation for completion of the form for administrative data
"Report on the cost of one conventional unit of conditional pension liabilities" (index – 1-ENPF_UEO, frequency – monthly)
Chapter 1. General provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on the cost of one conventional unit of conditional pension liabilities" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the Unified Pension Fund. The data in the form shall be indicated in tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. Column 1 shall indicate the date in the format " dd.mm.yyyy ".
6. Column 8 shall indicate the number of conventional units with an accuracy of three decimal places.
7. Column 9 shall indicate the cost of one conventional unit of conditional pension obligations with an accuracy of seven decimal places.
8. If information is missing, the form shall be submitted without completion.
| Annex 17 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on assets and liabilities classified by economic sectors
(according to the assets of the unified accumulative pension fund)
Footnote. The Resolution has been supplemented with Annex 17 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 29.06.2023 № 42 (shall come into effect upon the expiration of ten calendar days after the day of its first official publication).
Form for administrative data index: 1-ENPF-AL(OA)
Frequency: quarterly
Reporting period: as of "__" ________ 20 ___
Scope of persons presenting information: unified accumulative pension fund
Deadline for submitting the form for administrative data: quarterly, no later than 25 (twenty-fifth) the day of the month following the reporting quarter
Form
Table 1. Assets
(in thousands of tenge)
Line code | Indicator name |
Total | including | |
in national currency | in foreign currency | |||
1 | 2 | 3 | 4 | 5 |
1 | Cash and cash equivalents | |||
1.15.01 | Money in the till | |||
1.15.02 | Money in transit | |||
1.14.03 | Money in current accounts with other contributory institutions | |||
1.15.04 | Money in current accounts with other financial institutions | |||
1.20.05 | Money in current accounts with non-residents | |||
1.14.06 | Money in savings accounts at other contributory institutions | |||
1.15.07 | Money in savings accounts at other financial institutions | |||
1.20.08 | Money in savings accounts of non-residents | |||
1.14.09 | Other money in other contributory institutions | |||
1.15.10 | Other money in other financial institutions | |||
1.16.11 | Other money in government non-financial organizations | |||
1.17.12 | Other money in non-governmental non-financial organizations | |||
1.20.13 | Other money from non-residents | |||
2 | Refined precious metals | |||
2.14.01 | Refined precious metals in other contributory institutions | |||
2.15.02 | Refined precious metals in transit | |||
2.14.03 | Refined precious metals placed in metal accounts in other contributory institutions | |||
3 | Deposits placed | |||
3.13.01 | Deposits placed with the National Bank of the Republic of Kazakhstan | |||
3.14.02 | Short-term deposits placed overnight in other contributory institutions | |||
3.15.03 | Short-term deposits placed overnight in other financial institutions | |||
3.20.04 | Short-term deposits placed with non-residents for one night | |||
3.14.05 | Short-term demand deposits placed with other contributory institutions | |||
3.15.06 | Short-term demand deposits placed with other financial institutions | |||
3.20.07 | Short-term demand deposits placed with non-residents | |||
3.14.08 | Short-term deposits placed with other contributory institutions | |||
3.15.09 | Short-term deposits placed in other financial institutions | |||
3.20.10 | Short-term deposits placed with non-residents | |||
3.14.11 | Short-term conditional deposits placed with other contributory institutions | |||
3.15.12 | Short-term conditional deposits placed with other financial institutions | |||
3.20.13 | Short-term conditional deposits placed with non-residents | |||
3.14.14 | Long-term deposits placed with other contributory institutions | |||
3.15.15 | Long-term deposits placed in other financial institutions | |||
3.20.16 | Long-term deposits placed with non-residents | |||
3.14.17 | Long-term conditional deposits placed with other contributory institutions | |||
3.15.18 | Long-term conditional deposits placed in other financial institutions | |||
3.20.19 | Long-term conditional deposits placed with non-residents | |||
3.1 | Less: provision for depreciation | |||
4 | Securities measured at fair value through profit or loss | |||
4.11.01 | Securities issued by the Government of the Republic of Kazakhstan | |||
4.12.02 | Securities issued by regional and local governments | |||
4.13.03 | Securities issued by the National Bank of the Republic of Kazakhstan | |||
4.14.04 | Securities issued by other contributory institutions, including | |||
4.14.04.01 | Equity securities | |||
4.14.04.02 | Debt securities | |||
4.15.05 | Securities issued by other financial institutions, including | |||
4.15.05.01 | Equity securities | |||
4.15.05.02 | Debt securities | |||
4.16.06 | Securities issued by government non-financial organizations, including | |||
4.16.06.01 | Equity securities | |||
4.16.06.02 | Debt securities | |||
4.17.07 | Securities issued by non-governmental non-financial organizations, including | |||
4.17.07.01 | Equity securities | |||
4.17.07.02 | Debt securities | |||
4.18.08 | Securities issued by non-profit organizations serving households, including | |||
4.18.08.01 | Equity securities | |||
4.18.08.02 | Debt securities | |||
4.20.09 | Securities issued by non-residents, including | |||
4.20.09.01 | Equity securities | |||
4.20.09.02 | Debt securities | |||
5 | Derivatives | |||
5.11.01 | Transactions with derivative financial instruments with the Government of the Republic of Kazakhstan | |||
5.12.02 | Transactions with derivative financial instruments with regional and local governments | |||
5.13.03 | Transactions with derivative financial instruments with the National Bank of the Republic of Kazakhstan | |||
5.14.04 | Transactions with derivative financial instruments with other contributory institutions | |||
5.15.05 | Derivative transactions with other financial institutions | |||
5.16.06 | Transactions with derivative financial instruments with government non-financial organizations | |||
5.17.07 | Transactions with derivative financial instruments with non-governmental non-financial organizations | |||
5.18.08 | Transactions in financial derivatives with non-profit institutions serving households | |||
5.19.09 | Transactions in derivative financial instruments with households | |||
5.20.10 | Transactions with derivative financial instruments with non-residents | |||
6 | Securities carried at fair value through other comprehensive income | |||
6.11.01 | Securities issued by the Government of the Republic of Kazakhstan | |||
6.12.02 | Securities issued by regional and local governments | |||
6.13.03 | Securities issued by the National Bank of the Republic of Kazakhstan | |||
6.14.04 | Securities issued by other contributory institutions, including | |||
6.14.04.01 | Equity securities | |||
6.14.04.02 | Debt securities | |||
6.15.05 | Securities issued by other financial institutions, including | |||
6.15.05.01 | Equity securities | |||
6.15.05.02 | Debt securities | |||
6.16.06 | Securities issued by government non-financial organizations, including | |||
6.16.06.01 | Equity securities | |||
6.16.06.02 | Debt securities | |||
6.17.07 | Securities issued by non-governmental non-financial organizations, including | |||
6.17.07.01 | Equity securities | |||
6.17.07.02 | Debt securities | |||
6.18.08 | Securities issued by non-profit organizations serving households, including | |||
6.18.08.01 | Equity securities | |||
6.18.08.02 | Debt securities | |||
6.20.09 | Securities issued by non-residents, including | |||
6.18.09.01 | Equity securities | |||
6.18.09.02 | Debt securities | |||
6.1 | Less: provision for depreciation | |||
7 | Reverse repo operations | |||
7.11.01 | "Reverse repo" operations with the Government of the Republic of Kazakhstan | |||
7.13.02 | "Reverse repo" operations with the National Bank of the Republic of Kazakhstan | |||
7.14.03 | Reverse repo transactions with other contributory institutions | |||
7.15.04 | Reverse repo transactions with other financial institutions | |||
7.16.05 | Reverse repo transactions with government non-financial organizations | |||
7.17.06 | Reverse repo operations with non-governmental non-financial organizations | |||
7.18.07 | Reverse repo transactions with non-profit organizations serving households | |||
7.19.08 | Reverse repo transactions with households | |||
7.20.09 | Reverse repo operations with non-residents | |||
8 | Advances issued | |||
8.11.01 | Advances issued to the Government of the Republic of Kazakhstan for the supply of property, performance of work and provision of services | |||
8.12.02 | Advances issued by regional and local governments for the supply of property, performance of work and provision of services | |||
8.14.03 | Advances issued to other contributory organizations for the supply of property, performance of work and provision of services | |||
8.15.04 | Advances issued to other financial organizations for the supply of property, performance of work and provision of services | |||
8.16.05 | Advances issued to government non-financial organizations for the supply of property, performance of work and provision of services | |||
8.17.06 | Advances issued to non-governmental non-financial organizations for the supply of property, performance of work and provision of services | |||
8.18.07 | Advances issued to non-profit organizations serving households for the supply of property, performance of work and provision of services | |||
8.19.08 | Advances issued to households for the supply of property, performance of work and provision of services | |||
8.20.09 | Advances issued to non-residents for the supply of property, performance of work and provision of services | |||
8.11.10 | Other advances issued to the Government of the Republic of Kazakhstan | |||
8.12.11 | Other advances issued by regional and local governments | |||
8.14.12 | Other advances issued to other contributory institutions | |||
8.15.13 | Other advances issued to other financial institutions | |||
8.16.14 | Other advances issued to government non-financial organizations | |||
8.17.15 | Other advances issued to non-governmental non-financial organizations | |||
8.18.16 | Other advances issued to non-profit organizations serving households | |||
8.19.17 | Other advances issued to households | |||
8.20.18 | Other advances issued to non-residents | |||
9 | Future expenses | |||
10 | Commissions | |||
10.19.01 | Accrued commission income (losses) from investment income | |||
10.19.02 | Accrued commission income from pension assets | |||
11 | Reserves | |||
12 | Securities carried at amortized cost | |||
12.11.01 | Securities carried at amortized cost issued by the Government of the Republic of Kazakhstan | |||
12.12.02 | Securities carried at amortized cost issued by regional and local governments | |||
12.13.03 | Securities carried at amortized cost issued by the National Bank of the Republic of Kazakhstan | |||
12.14.04 | Securities carried at amortized cost issued by other contributory institutions | |||
12.15.05 | Securities carried at amortized cost issued by other financial institutions | |||
12.16.06 | Securities carried at amortized cost issued by government non-financial organizations | |||
12.17.07 | Securities carried at amortized cost issued by non-governmental non-financial organizations | |||
12.18.08 | Securities carried at amortized cost issued by non-profit organizations serving households | |||
12.20.09 | Securities carried at amortized cost issued by non-residents | |||
12.1 | Less: provision for depreciation | |||
13 | Investment property | |||
14 | Investments in the capital of other legal entities | |||
14.14.01 | Investments in the capital of other contributory institutions | |||
14.15.02 | Investments in the capital of other financial organizations | |||
14.16.03 | Investments in the capital of state non-financial organizations | |||
14.17.04 | Investments in the capital of non-state non-financial organizations | |||
14.18.05 | Investments in the capital of non-profit organizations serving households | |||
14.20.06 | Investments in the capital of non-residents | |||
15 | Accounts receivable | |||
15.11.01 | Debt of buyers and customers (Government of the Republic of Kazakhstan) | |||
15.12.02 | Debt of buyers and customers (regional and local governments) | |||
15.16.03 | Debt of buyers and customers (state non-financial organizations) | |||
15.17.04 | Debt of buyers and customers (non-state non-financial organizations) | |||
15.18.05 | Debt of buyers and customers (non-profit organizations serving households) | |||
15.19.06 | Receivables from buyers and customers (households) | |||
15.20.07 | Debt of buyers and customers (non-resident) | |||
15.15.08 | Debt of subsidiaries (dependent) organizations (other financial organizations) | |||
15.17.09 | Debt of subsidiaries (dependent) organizations (non-state non-financial organizations) | |||
15.11.10 | Rent arrears of the Government of the Republic of Kazakhstan | |||
15.12.11 | Regional and local government lease arrears | |||
15.13.12 | Rent arrears of the National Bank of the Republic of Kazakhstan | |||
15.14.13 | Rent arrears from other contributory organizations | |||
15.15.14 | Rent arrears from other financial institutions | |||
15.16.15 | Rent arrears of government non-financial organizations | |||
15.17.16 | Rent arrears of non-state non-financial organizations | |||
15.18.17 | Rent arrears of non-profit organizations serving households | |||
15.19.18 | Household rent arrears | |||
15.20.19 | Non-residents' rent arrears | |||
15.11.20 | Remuneration receivable from the Government of the Republic of Kazakhstan | |||
15.12.21 | Remuneration receivable from regional and local governments | |||
15.14.22 | Receivables from other contributory institutions | |||
15.15.23 | Receivables from other financial institutions | |||
15.16.24 | Remuneration receivable from government non-financial organizations | |||
15.17.25 | Remuneration receivable from non-governmental non-financial organizations | |||
15.18.26 | Remuneration receivable from non-profit organizations serving households | |||
15.19.27 | Remuneration receivable from households | |||
15.20.28 | Remuneration receivable from non-residents | |||
15.1 | Less: provision for depreciation | |||
16 | Non-current assets (disposal groups) held for sale | |||
17 | Intangible assets | |||
18 | Fixed assets | |||
19 | Right-of-use assets | |||
20 | Current tax asset | |||
21 | Deferred tax asset | |||
22 | Other receivables | |||
22.14.01 | Settlements with brokers (other contributory organizations) | |||
22.15.02 | Settlements with brokers (other financial organizations) | |||
22.17.03 | Settlements with brokers (non-governmental non-financial organizations) | |||
22.20.04 | Settlements with brokers (non-residents) | |||
22.11.05 | Settlements with shareholders (Government of the Republic of Kazakhstan) | |||
22.14.06 | Settlements with shareholders (other contributory organizations) | |||
22.15.07 | Settlements with shareholders (other financial organizations) | |||
22.16.08 | Settlements with shareholders (state non-financial organizations) | |||
22.17.09 | Settlements with shareholders (non-state non-financial organizations) | |||
22.18.10 | Settlements with shareholders (non-profit organizations serving households) | |||
22.19.11 | Settlements with shareholders (households) | |||
22.20.12 | Settlements with shareholders (non-residents) | |||
22.11.13 | Prepayment of interest on loans received from the Government of the Republic of Kazakhstan | |||
22.12.14 | Prepayment of interest on loans received from regional and local governments | |||
22.13.15 | Prepayment of interest on loans received from the National Bank of the Republic of Kazakhstan | |||
22.14.16 | Prepayment of interest on loans received from other contributory organizations | |||
22.15.17 | Prepayment of interest on loans received from other financial organizations | |||
22.16.18 | Prepayment of interest on loans received from government non-financial organizations | |||
22.20.19 | Prepayment of interest on loans received from non-residents | |||
22.11.20 | Financial assets transferred into trust management to the Government of the Republic of Kazakhstan | |||
22.13.21 | Financial assets transferred into trust management to the National Bank of the Republic of Kazakhstan | |||
22.14.22 | Financial assets transferred for trust management to other contributory institutions | |||
22.15.23 | Financial assets transferred for trust management to other financial organizations | |||
22.20.24 | Financial assets transferred for trust management to non-residents | |||
22.11.25 | Accrued penalty (fine, penalty) to the Government of the Republic of Kazakhstan | |||
22.12.26 | Accrued penalties (fine, penalty) to regional and local authorities | |||
22.13.27 | Accrued penalty (fine, penalty) to the National Bank of the Republic of Kazakhstan | |||
22.14.28 | Accrued penalty (fine, penalty) to other contributory organizations | |||
22.15.29 | Accrued penalty (fine, penalty) to other financial organizations | |||
22.16.30 | Accrued penalty (fine, penalty) to state non-financial organizations | |||
22.17.31 | Accrued penalty (fine, penalty) to non-governmental non-financial organizations | |||
22.19.32 | Accrued penalty (fine, penalty) to households | |||
22.20.33 | Accrued penalty (fine, penalty) to non-residents | |||
22.19.34 | Debt of employees and other resident persons | |||
22.20.35 | Debt of employees and other non-resident persons | |||
22.11.36 | Other receivables of the Government of the Republic of Kazakhstan | |||
22.12.37 | Other receivables from local governments | |||
22.13.38 | Other receivables of the National Bank of the Republic of Kazakhstan | |||
22.14.39 | Other receivables from other contributory institutions | |||
22.15.40 | Other receivables from other financial organizations | |||
22.16.41 | Other receivables from government non-financial organizations | |||
22.17.42 | Other receivables of non-state non-financial organizations | |||
22.18.43 | Other receivables of non-profit organizations serving households | |||
22.19.44 | Other household receivables | |||
22.20.45 | Other receivables from non-residents | |||
22.1 | Less: provision for depreciation | |||
23 | Other assets, including | |||
23.01 | Financial assets | |||
23.02 | Non-financial assets | |||
24 | Total assets | |||
Table 2. Liabilities
(in thousands of tenge)
Line code | Indicator name | Total (at the end of the reporting period) | including | |
in national currency | in foreign currency | |||
1 | 2 | 3 | 4 | 5 |
25 | Derivatives | |||
25.11.01 | Transactions with derivative financial instruments with the Government of the Republic of Kazakhstan | |||
25.12.02 | Transactions with derivative financial instruments with regional and local governments | |||
25.13.03 | Transactions with derivative financial instruments with the National Bank of the Republic of Kazakhstan | |||
25.14.04 | Transactions with derivative financial instruments with other contributory institutions | |||
25.15.05 | Derivative transactions with other financial institutions | |||
25.16.06 | Transactions with derivative financial instruments with government non-financial organizations | |||
25.17.07 | Transactions with derivative financial instruments with non-governmental non-financial organizations | |||
25.18.08 | Transactions in financial derivatives with non-profit institutions serving households | |||
25.19.09 | Transactions in derivative financial instruments with households | |||
25.20.10 | Transactions with derivative financial instruments with non-residents | |||
26 | Lease liabilities | |||
26.11.01 | Lease obligations to the Government of the Republic of Kazakhstan | |||
26.12.02 | Lease obligations to regional and local governments | |||
26.13.03 | Lease obligations to the National Bank of the Republic of Kazakhstan | |||
26.14.04 | Lease obligations to other contributory institutions | |||
26.15.05 | Lease liabilities to other financial institutions | |||
26.16.06 | Lease liabilities to government non-financial organizations | |||
26.17.07 | Lease obligations to non-governmental non-financial organizations | |||
26.18.08 | Rent obligations to non-profit organizations serving households | |||
26.19.09 | Rent liabilities to households | |||
26.20.10 | Lease obligations to non-residents | |||
27 | Repo transactions | |||
27.11.01 | Repo transactions with the Government of the Republic of Kazakhstan | |||
27.13.02 | Repo transactions with the National Bank of the Republic of Kazakhstan | |||
27.14.03 | Repo transactions with other contributory institutions | |||
27.15.04 | Repo transactions with other financial institutions | |||
27.16.05 | Repo transactions with government non-financial organizations | |||
27.17.06 | Repo transactions with non-governmental non-financial organizations | |||
27.18.07 | Repo transactions with non-profit organizations serving households | |||
27.19.08 | Repo transactions with households | |||
27.20.09 | Repo transactions with non-residents | |||
28 | Loans received | |||
28.11.01 | Short-term loans received from the Government of the Republic of Kazakhstan | |||
28.12.02 | Short-term loans received from regional and local governments | |||
28.14.03 | Short-term loans received from other contributory institutions | |||
28.15.04 | Short-term loans received from other financial institutions | |||
28.20.05 | Short-term loans received from non-residents | |||
28.11.06 | Long-term loans received from the Government of the Republic of Kazakhstan | |||
28.12.07 | Long-term loans received from regional and local governments | |||
28.14.08 | Long-term loans received from other contributory institutions | |||
28.15.09 | Long-term loans received from other financial institutions | |||
28.20.10 | Long-term loans received from non-residents | |||
29 | Accounts payable | |||
29.11.01 | Debt to suppliers and contractors (Government of the Republic of Kazakhstan) | |||
29.12.02 | Debt to suppliers and contractors (regional and local governments) | |||
29.16.03 | Debt to suppliers and contractors (state non-financial organizations) | |||
29.17.04 | Debt to suppliers and contractors (non-governmental non-financial organizations) | |||
29.18.05 | Debt to suppliers and contractors (non-profit organizations serving households) | |||
29.19.06 | Debt to suppliers and contractors (households) | |||
29.20.07 | Debt to suppliers and contractors (non-resident) | |||
29.15.08 | Debt to subsidiaries (dependent) organizations (other financial organizations) | |||
29.17.09 | Debt to subsidiaries (dependent) organizations (non-state non-financial organizations) | |||
29.19.10 | Debt to employees and other resident persons | |||
29.20.11 | Debt to employees and other non-resident persons | |||
29.11.12 | Rent debt to the Government of the Republic of Kazakhstan | |||
29.12.13 | Rent arrears to regional and local governments | |||
29.13.14 | Rent debt to the National Bank of the Republic of Kazakhstan | |||
29.14.15 | Rent arrears to other contributory organizations | |||
29.15.16 | Rent arrears to other financial institutions | |||
29.16.17 | Rent arrears to government non-financial organizations | |||
29.17.18 | Rent arrears to non-governmental non-financial organizations | |||
29.18.19 | Rent arrears to non-profit organizations serving households | |||
29.19.20 | Rent arrears to households | |||
29.20.21 | Rent arrears to non-residents | |||
29.11.22 | Remuneration payable to the Government of the Republic of Kazakhstan | |||
29.12.23 | Remunerations payable to regional and local governments | |||
29.14.24 | Remuneration payable to other contributory institutions | |||
29.15.25 | Remuneration payable to other financial organizations | |||
29.20.26 | Remuneration payable to non-residents | |||
29.11.27 | Current portion of accounts payable to the Government of the Republic of Kazakhstan | |||
29.12.28 | Current portion of accounts payable to regional and local governments | |||
29.13.29 | Current portion of accounts payable to the National Bank of the Republic of Kazakhstan | |||
29.14.30 | The current portion of accounts payable to other contributory organizations | |||
29.15.31 | The current portion of accounts payable to other financial organizations | |||
29.16.32 | Current portion of accounts payable to government non-financial organizations | |||
29.17.33 | Current portion of accounts payable to non-governmental non-financial organizations | |||
29.18.34 | The current portion of accounts payable to non-profit organizations serving households | |||
29.19.35 | The current share of accounts payable to households | |||
29.11.36 | Other accounts payable to the Government of the Republic of Kazakhstan | |||
29.12.37 | Other accounts payable to regional and local governments | |||
29.13.38 | Other accounts payable to the National Bank of the Republic of Kazakhstan | |||
29.14.39 | Other accounts payable to other contributory organizations | |||
29.15.40 | Other accounts payable to other financial organizations | |||
29.16.41 | Other accounts payable to government non-financial organizations | |||
29.17.42 | Other accounts payable to non-state non-financial organizations | |||
29.18.43 | Other accounts payable to non-profit organizations serving households | |||
29.19.44 | Other accounts payable to households | |||
29.20.45 | Other accounts payable to non-residents | |||
30 | Advances received | |||
30.14.01 | Prepayment of interest on deposits placed in other contributory organizations | |||
30.15.02 | Prepayment of interest on deposits placed in other financial institutions | |||
30.20.03 | Prepayment of interest on deposits placed with non-residents | |||
30.11.04 | Other advances received from the Government of the Republic of Kazakhstan | |||
30.12.05 | Other advances received from regional and local governments | |||
30.13.06 | Other advances received from the National Bank of the Republic of Kazakhstan | |||
30.14.07 | Other advances received from other contributory institutions | |||
30.15.08 | Other advances received from other financial institutions | |||
30.16.09 | Other advances received from government non-financial organizations | |||
30.17.10 | Other advances received from non-governmental non-financial organizations | |||
30.18.11 | Other advances received from non-profit organizations serving households | |||
30.19.12 | Other advances received from households | |||
30.20.13 | Other advances received from non-residents | |||
31 | Reserves | |||
31.11.01 | Warranty obligations accepted from the Government of the Republic of Kazakhstan | |||
31.12.02 | Warranty obligations accepted from regional and local authorities | |||
31.13.03 | Warranty obligations accepted from the National Bank of the Republic of Kazakhstan | |||
31.14.04 | Warranty obligations accepted from other contributory organizations | |||
31.15.05 | Warranty obligations accepted from other financial organizations | |||
31.16.06 | Warranty obligations accepted from government non-financial organizations | |||
31.17.07 | Warranty obligations accepted from non-governmental non-financial organizations | |||
31.18.08 | Warranty obligations accepted from non-profit organizations serving households | |||
31.19.09 | Warranty obligations accepted from households | |||
31.20.10 | Warranty obligations accepted from non-residents | |||
31.19.11 | Estimated liabilities for employee benefits (resident) | |||
31.20.12 | Estimated liabilities for employee benefits (non-resident) | |||
31.11.13 | Obligations for claims work before the Government of the Republic of Kazakhstan | |||
31.12.14 | Obligations for claims work before regional and local authorities | |||
31.13.15 | Obligations for claims work before the National Bank of the Republic of Kazakhstan | |||
31.14.16 | Obligations for claims work to other contributory organizations | |||
31.15.17 | Obligations for claims work to other financial organizations | |||
31.16.18 | Obligations for claims work before government non-financial organizations | |||
31.17.19 | Obligations for claims-related work to non-governmental non-financial organizations | |||
31.18.20 | Obligations for claims-related work to non-profit organizations serving households | |||
31.19.21 | Obligations for claims work to households | |||
31.20.22 | Obligations for claims work to non-residents | |||
31.11.23 | Other estimated liabilities to the Government of the Republic of Kazakhstan | |||
31.12.24 | Other estimated obligations to regional and local authorities | |||
31.13.25 | Other estimated liabilities to the National Bank of the Republic of Kazakhstan | |||
31.14.26 | Other estimated liabilities to other contributory institutions | |||
31.15.27 | Other estimated liabilities to other financial organizations | |||
31.16.28 | Other estimated liabilities to state non-financial organizations | |||
31.17.29 | Other estimated liabilities to non-governmental non-financial organizations | |||
31.18.30 | Other estimated liabilities to non-profit organizations serving households | |||
31.19.31 | Other estimated liabilities to households | |||
31.20.32 | Other estimated liabilities to non-residents | |||
32 | Accrued expenses for settlements with shareholders on shares | |||
32.11.01 | Settlements on dividends and income of participants with the Government of the Republic of Kazakhstan | |||
32.13.02 | Settlements on dividends and participants' income with the National Bank of the Republic of Kazakhstan | |||
32.14.03 | Settlements on dividends and participant income with other contributory organizations | |||
32.15.04 | Settlements on dividends and participants' income with other financial organizations | |||
32.16.05 | Settlements on dividends and participants' income with state non-financial organizations | |||
32.17.06 | Settlements on dividends and income of participants with non-governmental non-financial organizations | |||
32.18.07 | Settlements on dividends and participant income with non-profit organizations serving households | |||
32.19.08 | Calculations of dividends and income of participants with households | |||
32.20.09 | Calculations of dividends and income of participants with non-residents | |||
33 | Accrued expenses for settlements with personnel | |||
33.19.01 | Settlements with staff (residents) for wages | |||
33.20.02 | Settlements with personnel (non-residents) for wages | |||
34 | revenue of the future periods | |||
35 | Deferred tax liability | |||
35.11.01 | Deferred corporate income tax | |||
36 | Obligation to the budget for taxes and other obligatory payments to the budget | |||
37 | Other obligations | |||
37.11.01 | Other obligations to the Government of the Republic of Kazakhstan | |||
37.12.02 | Other obligations to regional and local authorities | |||
37.13.03 | Other obligations to the National Bank of the Republic of Kazakhstan | |||
37.14.04 | Other obligations to other contributory institutions | |||
37.15.05 | Other obligations to other financial institutions | |||
37.16.06 | Other obligations to government non-financial organizations | |||
37.17.07 | Other obligations to non-governmental non-financial organizations | |||
37.18.08 | Other obligations to non-profit organizations serving households | |||
37.19.09 | Other obligations to households | |||
37.20.10 | Other obligations to non-residents | |||
38 | Total liabilities | |||
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20___
| Annex to the report form on assets and |
|
| liabilities classified by economic sectors (according to the own assets of the copper accumulative pension fund) |
Explanation for completion of the form for administrative data
"Report on assets and liabilities classified by economic sectors (according to the own assets
of the unified pension savings fund)" (index – 1-ENPF-AL(OA), frequency – quarterly)
Chapter 1. General Provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on assets and liabilities classified by economic sectors (according to the own assets of the unified pension savings fund)" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out quarterly by the unified pension fund as of the end of the reporting period. The data in the form shall be indicated in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded up to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded up to 1000 (thousand) tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. The form contains data on all items of the "Assets" and "Liabilities" sections of the balance sheet of the unified accumulative pension fund on its assets as of the reporting date.
The total assets reflected in Table 1 shall correspond to the total assets of the balance sheet for own assets at the same reporting date.
The total amount of liabilities reflected in Table 2 corresponds to the total amount of liabilities of the balance sheet for own assets at the same reporting date.
6. The line (indicator) code of Tables 1 and 2 of the form is determined according to the following structure:
1) the first part corresponds to the number of the main item of the balance sheet;
2) the second part consists of two digits – the residence attribute code and the economic sector code;
3) the third part is the serial number of the indicator.
Codes for the attribute of residence and economic sector shall be indicated in accordance with the Rules for the application of codes for economic sectors and purposes of payments, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 "On approval of the Rules for the application of codes for economic sectors and purposes of payments", registered in the State Register of Normative Legal Acts under No. 14365.
The assets and liabilities of the unified accumulative pension fund concerning non-residents are not divided by economic sector. In this case, the code of the economic sector concerning a non-resident shall be indicated as "0".
Example: line code 15.15.08, where the first digit "15" is the number of the main balance sheet item, the second digit "15" is the resident, other financial organizations and the third digit "08" is the serial number.
7. Arithmetic-logical control:
1) the data in column 3 for all lines is equal to the sum of the data in columns 4 and 5;
2) the indicator "total assets" for the line with code "24" is equal to the sum of the indicators for lines with codes "1", "2", "3", "4", "5", "6", "7", " 8", "9", "10", "11", "12", "13", "14", "15", "16", "17", "18", "19", "20", "21", "22" and "23";
3) the "total liabilities" indicator for the line with code "38" is equal to the sum of the indicators for lines with codes "25", "26", "27", "28", "29", "30", "31", " 32", "33", "34", "35", "36" and "37".
| Annex 18 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on assets and liabilities classified by economic sectors
(for pension assets of the unified accumulative pension fund)
Footnote. The Resolution has been supplemented with Annex 18 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 29.06.2023 № 42 (shall come into effect ten calendar days after the day of its first official publication).
Form for administrative data index: 2-ENPF-AL(PA)
Frequency: quarterly
Reporting period: as of "__" ________ 20 ___
Scope of persons presenting information: unified accumulative pension fund
Deadline for submitting the form for administrative data: quarterly, no later than 25 (twenty-fifth) the day of the month following the reporting quarter
Form
Table 1. Assets
(in thousands of tenge)
Line code | Indicator name | Total (at the end of the reporting period) | including | |
in national currency | in foreign currency | |||
1 | 2 | 3 | 4 | 5 |
1 | Cash and cash equivalents | |||
1.13.01 | Money (pension assets) on current accounts (contribution account) in the National Bank of the Republic of Kazakhstan | |||
1.13.02 | Money (pension assets) on current accounts (investment account) with the National Bank of the Republic of Kazakhstan | |||
1.14.03 | Money (pension assets) in current accounts (investment account) with other contributory institutions | |||
1.15.04 | Money (pension assets) in current accounts (investment accounts) in other financial institutions | |||
1.13.05 | Money (pension assets) on current accounts (payment account) in the National Bank of the Republic of Kazakhstan | |||
1.14.06 | Money (pension assets) in current accounts (payment account) with other contributory institutions | |||
1.15.07 | Money (pension assets) in current accounts (benefits account) with other financial institutions | |||
2 | Refined precious metals | |||
2.14.01 | Refined precious metals in other contributory institutions | |||
2.20.02 | Refined precious metals from non-residents | |||
2.14.03 | Refined precious metals placed in metal accounts in other contributory institutions | |||
2.20.04 | Refined precious metals placed in metal accounts with non-residents | |||
3 | Deposits in the National Bank of the Republic of Kazakhstan and second-tier banks | |||
3.13.01 | Deposits placed with the National Bank of the Republic of Kazakhstan | |||
3.14.02 | Deposits placed with other contributory institutions | |||
3.10.03 | Deposits placed with non-residents | |||
3.1 | Less: provision for depreciation | |||
4 | Securities measured at fair value | |||
4.11.01 | Securities issued by the Government of the Republic of Kazakhstan | |||
4.12.02 | Securities issued by regional and local governments | |||
4.13.03 | Securities issued by the National Bank of the Republic of Kazakhstan | |||
4.14.04 | Securities issued by other contributory institutions, including | |||
4.14.04.01 | Equity securities | |||
4.14.04.02 | Debt securities | |||
4.15.05 | Securities issued by other financial institutions, including | |||
4.15.05.01 | Equity securities | |||
4.15.05.02 | Debt securities | |||
4.16.06 | Securities issued by government non-financial organizations, including | |||
4.16.06.01 | Equity securities | |||
4.16.06.02 | Debt securities | |||
4.17.07 | Securities issued by non-governmental non-financial organizations, including | |||
4.17.07.01 | Equity securities | |||
4.17.07.02 | Debt securities | |||
4.20.08 | Securities issued by non-residents, including | |||
4.20.08.01 | Equity securities | |||
4.20.08.02 | Debt securities | |||
5 | Requirements for reverse repo transactions | |||
5.11.01 | repo " operations to the Government of the Republic of Kazakhstan | |||
5.13.02 | repo " operations to the National Bank of the Republic of Kazakhstan | |||
5.14.03 | Requirements for reverse repo transactions to other contributory institutions | |||
5.15.04 | Requirements for reverse repo transactions to other financial organizations | |||
5.16.05 | Requirements for reverse repo transactions for state non-financial organizations | |||
5.17.06 | Requirements for reverse repo transactions for non-governmental non-financial organizations | |||
5.20.07 | Requirements for reverse repo transactions for non-residents | |||
6 | Derivatives | |||
6.11.01 | Transactions with derivative financial instruments with the Government of the Republic of Kazakhstan | |||
6.12.02 | Transactions with derivative financial instruments with regional and local governments | |||
6.13.03 | Transactions with derivative financial instruments with the National Bank of the Republic of Kazakhstan | |||
6.14.04 | Transactions with derivative financial instruments with other contributory institutions | |||
6.15.05 | Derivative transactions with other financial institutions | |||
6.16.06 | Transactions with derivative financial instruments with government non-financial organizations | |||
6.17.07 | Transactions with derivative financial instruments with non-governmental non-financial organizations | |||
6.20.08 | Transactions with derivative financial instruments with non-residents | |||
7 | Assets under external management | |||
8 | Accounts receivable | |||
8.11.01 | Debt of the Government of the Republic of Kazakhstan | |||
8.12.02 | Debt of regional and local governments | |||
8.13.03 | Debt of the National Bank of the Republic of Kazakhstan | |||
8.14.04 | Debt of other contributory institutions | |||
8.15.05 | Debt of other financial organizations | |||
8.16.06 | Debt of state non-financial organizations | |||
8.17.07 | Debt of non-state non-financial organizations | |||
8.20.08 | Debt of non-residents | |||
9 | Requirements for obtaining a negative difference between the nominal yield indicator and the minimum yield value | |||
10 | Claims for compensation of negative commissions from investment income | |||
11 | Securities measured at amortized cost | |||
11.11.01 | Securities measured at amortized cost issued by the Government of the Republic of Kazakhstan | |||
11.12.02 | Securities measured at amortized cost issued by regional and local governments | |||
11.13.03 | Securities valued at amortized cost, issued by the National Bank of the Republic of Kazakhstan | |||
11.14.04 | Securities measured at amortized cost issued by other contributory institutions | |||
11.15.05 | Securities measured at amortized cost issued by other financial institutions | |||
11.16.06 | Securities measured at amortized cost issued by government non-financial organizations | |||
11.17.07 | Securities measured at amortized cost issued by non-governmental non-financial organizations | |||
11.20.08 | Securities measured at amortized cost issued by non-residents | |||
11.1 | Less: provision for depreciation | |||
12 | Other assets, including | |||
12.01 | Financial assets | |||
12.02 | Non-financial assets | |||
13 | Total assets | |||
Table 2. Liabilities
(in thousands of tenge)
Line code | Indicator name | Total (at the end of the reporting period) | including | |
in national currency | in foreign currency | |||
1 | 2 | 3 | 4 | 5 |
14 | Obligations for pension payments, one-time withdrawals to improve living conditions and (or) treatment | |||
14.19.01 | Obligations to pay pension savings | |||
14.15.02 | Obligations to transfer pension savings to other pension savings funds | |||
14.15.03 | Obligations to transfer pension savings to insurance organizations | |||
14.19.04 | Obligations for one-time withdrawals to improve living conditions and (or) pay for treatment | |||
15 | Accounts payable for commission fees | |||
15.15.01 | Accrued commissions from investment income (loss) | |||
15.15.02 | Accrued commissions from pension assets | |||
16 | Accounts payable for individual income tax on pension payments | |||
17 | Derivatives | |||
17.11.01 | Transactions with derivative financial instruments with the Government of the Republic of Kazakhstan | |||
17.12.02 | Transactions with derivative financial instruments with regional and local governments | |||
17.13.03 | Transactions with derivative instruments with the National Bank of the Republic of Kazakhstan | |||
17.14.04 | Transactions with derivative financial instruments with other contributory institutions | |||
17.15.05 | Derivative transactions with other financial institutions | |||
17.16.06 | Transactions with derivative financial instruments with government non-financial organizations | |||
17.17.07 | Transactions with derivative financial instruments with non-governmental non-financial organizations | |||
17.20.08 | Transactions with derivative financial instruments with non-residents | |||
18 | Liabilities for repo transactions | |||
19 | Other obligations | |||
19.19.01 | Obligations to return erroneously credited amounts of pension contributions | |||
19.19.02 | Other amounts pending clarification | |||
19.00.03 | Other obligations | |||
20 | Total liabilities | |||
21 | Total net assets | |||
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20____
| Annex to the report form on assets and liabilities classified by economic sector (by pension assets of the medical accumulative pension fund) |
Explanation for completion of the form for administrative data
"Report on assets and liabilities classified by economic sector (by pension assets of the unified
pension savings fund)" (index – 2-ENPF-AL(PA), frequency – quarterly)
Chapter 1. General Provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on assets and liabilities classified by economic sectors (on pension assets of the unified accumulative pension fund)" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out quarterly by the unified pension fund as of the end of the reporting period. The data in the form shall be indicated in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded up to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded up to 1000 (thousand) tenge.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. The form shall contain data on all items of the "Assets" and "Liabilities" sections of the report on the net pension assets of the unified pension savings fund as of the reporting date.
The total assets shown in Table 1 shall correspond to the total assets in the statement of net pension assets at the same reporting date.
The total liabilities shown in Table 2 shall correspond to the total liabilities in the statement of net pension assets at the same reporting date.
The amount of the "total net assets" item shall correspond to the amount of the "total net assets" item of the statement of net pension assets as of the same reporting date.
6. Line (indicator) code of Tables 1 and 2 of the form shall be determined according to the following structure:
1) the first part shall correspond to the number of the main article of the report on net pension assets;
2) the second part shall consist of two digits – the residence attribute code and the economic sector code;
3) the third part shall be the serial number of the indicator.
Codes for the attribute of residence and economic sector shall be indicated in accordance with the Rules for the application of codes for economic sectors and purposes of payments, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 "On approval of the Rules for the application of codes for economic sectors and purposes of payments", registered in the State Register of Normative Legal Acts under No. 14365.
The assets and liabilities of the unified accumulative pension fund concerning non-residents shall not be divided by economic sector. In this case, the code of the economic sector concerning a non-resident shall be indicated as "0".
Example: line code 15.15.08, where the first digit "15" shall be the number of the main item of the report on net pension assets, the second digit "15" shall be the resident, other financial organizations and the third digit "08" shall be the serial number.
9. Arithmetic-logical control:
1) the data in column 3 for all lines shall be equal to the sum of the data in columns 4 and 5;
2) the indicator "total assets" for the line with code "12" shall be equal to the sum of the indicators for lines with codes "1", "2", "3", "4", "5", "6", "7", " 8", "9", "10" and "11";
3) the "total liabilities" indicator for the line with code "18" shall be equal to the sum of the indicators for lines with codes "13", "14", "15", "16" and "17";
4) the indicator "total net assets" for the line with code "19" shall be equal to the difference in the indicators for lines with codes "12" and "18".
| Annex 19 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Report on payments and return of target savings
Footnote. Annex 19 - as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 25.12.2023 № 97 (shall come into effect from 01.01.2024).
Form for administrative data index: 1-ENPF_VVCN
Frequency: monthly
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified accumulative pension fund
Deadline for submitting the administrative data form: monthly, no later than the 7th (seventh) working day of the month following the reporting month
Form
Table. Payments and return of target savings
Line code | Title of articles | For the reporting month | For the period since the beginning of the year | ||
number of recipients (persons) | number of payments (units) | amount (in US dollars) | number of recipients (persons) | ||
1 | 2 | 3 | 4 | 5 | 6 |
100 |
Payments of target savings, | ||||
101 | to improve living conditions | ||||
102 | to pay for education | ||||
103 | to the heirs | ||||
200 | Return of target savings | X | X | X | |
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20__
| Annex to the report form on payments and return of target savings |
Explanation for completion of the form for administrative data
"Report on payments and return of target savings" (index – 1-ENPF_VVCN, frequency – monthly)
Chapter 1. General Provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on payments and return of target savings" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out monthly by the unified pension fund as of the end of the reporting period.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. Column 3 shall indicate the number of recipients to whom target savings payments have been made for the reporting month, in units.
6. Column 4 shall indicate the number of payments of target savings made to recipients during the reporting month, in units. Information on the number of payments of target savings shall be reflected based on the payments of target savings (transactions) to recipients.
7. Column 5 shall indicate the amount of payments or return of target savings for the reporting month in United States dollars.
8. Column 6 shall indicate the number of recipients to whom target savings payments have been made for the period from the beginning of the year (cumulative total), in units.
9. If information is missing, the form shall be submitted without completion.
| Annex 20 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The form for administrative data
Submitted to: the National Bank of the Republic of Kazakhstan
The form for administrative data shall be posted on the Internet resource: www.nationalbank.kz
Target Requirements Report
Footnote. The Resolution has been supplemented with Annex 20 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 25.12.2023 № 97 (shall come into effect from 01.01.2024).
Form for administrative data index: 1-ENPF_CT
Frequency: annual
Reporting period: as of "__" ________ 20 ___
Scope of persons providing information: unified pension savings fund
Deadline for submitting the form for administrative data: annually, no later than April 30 (thirtieth) of the year following the reporting year
Form
Table. Target Requirements
Year of birth of participants | Number of participants | Amount of target claims at the end of the year preceding the reporting year (in US dollars) | The amount of income accrued on the amount of target requirements at the end of the year preceding the reporting year (in US dollars) | The number of target requirements from the amount of fifty percent of the average investment income of the National Fund of the Republic of Kazakhstan in the reporting year (in US dollars) | Amount of target claims as of the end of the reporting year (in US dollars) |
1 | 2 | 3 | 4 | 5 | 6 |
The amount of fifty percent of the average investment income
of the National Fund of the Republic of Kazakhstan is ________ US dollars.
The amount of income accrued on previously formed target claims of participants in target claims is ________ US dollars.
The amount of fifty percent of the average investment income of the National Fund of the Republic of Kazakhstan, taking into account adjustments, is ________ US dollars.
The rate average investment income is ________ percent.
The total number of participants in target claims at the end of the reporting year is ________ persons.
Name _____________________________________________
Address ___________________________________________
Telephone _________________________________________
E-mail address ______________________________________
Executor ___________________________________________
last name, first name and patronymic (if any) signature, telephone number
Manager or person entrusted with the function upon signing the report
_______________________________________ ___________
last name, first name and patronymic (if any) Signature
Date "______" ______________ 20____
| Annex to the target requirements report form |
Explanation for completion of the form for administrative data
"Report on Target Requirements" (index – 1-ENPF_CT, frequency – annual)
Chapter 1. General Provisions
1. This explanation shall define uniform requirements for filling in the form for administrative data "Report on Target Requirements" (hereinafter referred to as the Form).
2. The form has been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
3. The form shall be filled out annually by the unified pension savings fund as of the end of the reporting period.
4. The form shall be signed by the manager or the person entrusted with the function of signing the report, and the executor.
Chapter 2. Explanation for completion of the form
5. Column 1 shall indicate the years of birth of the participants in the target requirements.
6. Column 2 shall indicate the number of participants in the target requirements of the corresponding year of birth in units.
7. Column 3 shall indicate the amount of target requirements at the end of the year preceding the reporting year, in United States dollars (hereinafter referred to as US dollars).
8. Column 4 shall indicate the amount of income accrued on the amount of target claims at the end of the year preceding the reporting year, in US dollars.
9. Column 5 shall indicate the number of target requirements from the amount of fifty percent of the average investment income of the National Fund of the Republic of Kazakhstan for the reporting period, in US dollars.
10. Column 6 shall indicate the number of target requirements as of the end of the reporting year, equal to the sum of the values of columns 3, 4 and 5, in US dollars.
11. The amount of fifty percent of the average investment income of the National Fund of the Republic of Kazakhstan, the amount of income accrued on previously formed target claims of participants in target claims, the amount of fifty percent of the average investment income of the National Fund of the Republic of Kazakhstan, taking into account adjustments, the rate of average investment income and the total number of participants target requirements at the end of the reporting year shall be indicated in the note to the form provided in the information system.
12. If information is missing, the form shall be submitted without completion.
| Annex 21 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 № 167 |
The Rules for reporting by the Unified Pension Savings Fund
Footnote. The Resolution has been supplemented with Annex 21 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 25.12.2023 № 97 (shall come into effect from 01.01.2024).
1. The Rules for reporting by the unified accumulative pension fund (hereinafter referred to as the Rules) have been developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of article 16 of the Law of the Republic of Kazakhstan "On state statistics" and shall determine the procedure for submitting reports by the unified accumulative pension fund (hereinafter referred to as the Fund) to the National Bank of the Republic of Kazakhstan (hereinafter referred to as the National Bank).
2. Reporting shall be submitted by the Fund in electronic form through the use of the information system "Web portal of the National Bank of the Republic of Kazakhstan".
3. Reporting certified through an electronic digital signature by the head of the Fund or the person entrusted with the function of signing the report, and the executor, shall be stored in electronic format.
4. The completeness and reliability of the data in the reporting shall be ensured by the head of the Fund or the person entrusted with the function of signing the report.
5. Data in the reporting shall be indicated in the national currency of the Republic of Kazakhstan - tenge, as well as in United States dollars.
6. For reporting, assets in foreign currency shall be indicated in terms of the market exchange rate, determined in accordance with the procedure established by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated January 25, 2013 No. 15 and the order of the Minister of Finance of the Republic of Kazakhstan dated February 22, 2013 No. 99 "On the procedure for determining the market currency exchange rate", registered in the State Register of Normative Legal Acts under No. 8378.
7. The concepts "resident" and "non-resident" shall be used in the meanings defined by the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control".