Unofficial translation
Footnote. The heading as amended by Resolution No. 37 of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated 24.02.2021 (shall be enforced ten calendar days after the date of its first official publication).In accordance with the Law of the Republic of Kazakhstan dated July 2, 2003 “On Securities Market”, the Board of the National Bank of the Republic of Kazakhstan RESOLVES:
1. Approve the attached Rules of forming the State Register of emission securities.
Footnote. Paragraph1- as amended by Resolution No. 37 of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated 24.02.2021 (shall be enforced ten calendar days after the date of its first official publication).2. (Resolution No. 282 of the Board of the National Bank of the Republic of Kazakhstan dated November 28, 2016 “On approval of Rules of Maintaining the State Register of Issuance Securities” registered in the Register of State Registration of Regulatory Legal acts under No. 14671, published on January 23, 2017 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan) shall be deemed invalid.
3. In accordance with the procedure established by the legislation of the Republic of Kazakhstan, the Department of Regulation of Non-Bank Financial Organizations (A.M. Kosherbaeva), 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 state registration of this resolution, direct it in the Kazakh and Russian languages to the Republican State Enterprise with the Right of Economic Management “Republican Center for 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 Internet resource of the National Bank of the Republic of Kazakhstan after its official publication;
4) within ten working days after the state registration of this resolution, submit the data on execution of the actions provided for in subparagraphs 2), 3) of this paragraph and paragraph 4 of this resolution to the Legal Department.
4. 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.T. Terentyev) shall direct its copy for official publication in periodicals.
5. Control over the execution of this resolution shall be entrusted to Vice Chairman of the National Bank of the Republic of Kazakhstan, Zh.B. Kurmanov.
6. This resolution shall be enforced on January 1, 2019 and is subject to official publication.
|
Chairman of the National Bank |
D. Akishev |
| Approved by Resolution No. 201 of the Board of the National Bank of the Republic of Kazakhstan of August 27, 2018 |
Rules of forming the State register of emission securities
Footnote. The Rules - as amended by Resolution No. 57 of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated 27.04. 2021 (shall be enforced ten calendar days after the date of its first official publication).
Chapter 1. General provisions
1. These Rules of forming the State register of emission securities (hereinafter - the Rules) have been developed pursuant to paragraph 1 of Article 6 of the Law of the Republic of Kazakhstan dated July 2, 2003 On Securities Market and define the procedure for the formation of the State register of emission securities (hereinafter - the State register).
2. The formation of the State Register shall be carried out by the authorized body that regulates, controls and supervises the financial market and financial organizations (hereinafter - the authorized body), in electronic form on the basis of the data on registered emission securities and their issuers, entered by the authorized body, and databases of other central state bodies, as well as the State Corporation “Government for Citizens”.
3. The following concepts shall be used in the Rules:
1) Legal Entity Identifier code (Legal Entity Identifier) - an alphanumeric code assigned to legal entities in accordance with the international standard, intended for the international identification of all legal entities involved in operations in the financial market;
2) number and code of an administrative document (NACAD) - a number assigned to an electronic document by the state information system of permits and notifications.
Chapter 2. Procedure of forming the State Register
4. Data shall be formed in the State Register on:
1) state registration of issues of non-government emission securities (bond programs);
2) state registration of changes and (or) additions to the prospectus for the issue of non- government emission securities (prospectus of bond programs);
3) approval of reports on results of placement of the joint-stock company’s shares;
4) annulment of the entry on approval of the report on results of placement of the joint-stock company’s shares on the basis of the enforced court ruling;
5) approval of reports on the exchange of placed shares of a joint-stock company of one type for shares of this joint-stock company of another type;
6) approval of reports on the results of Islamic securities placement;
7) approval of reports on the results of Islamic securities redemption;
8) approval of reports on the results of Kazakhstan depositary receipts placement;
9) approval of reports on the results of Kazakhstan depositary receipts redemption;
10) annulment of issues of non-government emission securities;
11) redemption of shares upon results of reviewed information on termination of a mutual investment fund;
12) on redemption of non-government bonds;
13) approval of amendments and (or) additions to the rules of the mutual investment fund;
14) issuance of a permit for the issue and (or) placement of emission securities in the territory of a foreign state;
15) suspension and resumption of placement and (or) circulation of non-government emission securities.
If the authorized body refuses to consider the documents provided by the issuer in the cases specified in subparagraphs 1), 2), 3), 5), 6), 7), 8), 9), 10), 11), 12), 13 ) and 14) of part one of this paragraph, the data on refusals containing information on the dates of filing documents by the issuer, on the dates and numbers of letters with reasoned refusals from the authorized body sent to the issuer, shall be formed in the relevant section of the State Register.
5. The state register shall consist of the following sections:
1) register of shares;
2) register of non-government bonds;
3) register of equity stakes;
4) register of Islamic securities;
5) register of Kazakhstan depositary receipts;
6) register of permits for the issue and (or) placement of emission securities in the territory of a foreign state.
6. The data specified in paragraph 5 of the Rules (hereinafter the Data ) shall be formed and updated in the State Register on the basis of:
1) data contained in the documents provided by the issuer in the cases specified in subparagraphs 1), 2), 3), 5), 6), 7), 8), 9), 10), 11), 12) and 13 ), part one of paragraph 4 of the Rules;
2) data on the liquidation or reorganization of the issuer (except for cases when another legal entity joins this issuer or a new legal entity is separated from this issuer) contained in the National Register of Business Identification Numbers;
3) enforced court ruling on compulsory liquidation of a joint-stock company;
4) a court ruling on invalidating the report on the results of placement of the joint-stock company shares approved by the authorized body or transactions for the placement of shares;
5) enforced court ruling to invalidate the state registration of an issue of non-state emissive securities;
6) information interaction with information systems and databases of the State Corporation "Government for Citizens", other central state bodies, the joint-stock company "Central Securities Depository" (hereinafter -the Central Depository), including information from the Central Depository on the international identification numbers assigned to them (ISIN codes).
7. The exchange of information between the authorized body and state bodies, the State Corporation "Government for Citizens", the stock exchange and the Central Depository shall be carried out in electronic form through the interaction of integrated information systems and databases.
8. The authorized body shall record the Information in the State Register no later than 3 (three) working days from the date of occurrence of the grounds for their entry.
9. The data specified in:
1) subparagraphs 1), 2), 3), 5), 6), 7), 8), 9), 10), 11), 12), 13), 14), 15) and 27) of paragraph 10, subparagraphs 1), 2), 3), 5), 6), 8), 9), 10), 11), 12), 13), 14) and 15) of paragraph 16, subparagraphs 1), 2), 3 ), 5), 6), 8), 9), 10), 11) and 12) of paragraph 17, subparagraphs 1), 2), 3), 4), 5), 7), 8), 9), 10), 11), 12), 13) and 14) of paragraph 18, subparagraphs 1), 2), 4), 5), 6), 7), 8), 9) and 10) of paragraph 22, subparagraphs 1) , 2), 3), 5), 6), 7), 8), 9), 10), 11) and 12) of paragraph 26 and subparagraphs 1), 2) 3), 4), 5) and 6) of paragraph 31 of the Rules are formed in the State Register automatically from the database of the information system “State Database “Legal Entities” by the business identification number of the issuer;
2) subparagraphs 16), 17), 18), 19), 20), 21), 22), 23), 24), 25), 26) and 27) of paragraph 10, subparagraph 1) of paragraph 11, subparagraphs 1) , 3) and 4) of paragraph 15, subparagraphs 7), 16), 17), 18), 19), 20), 21), 22), 23), 24), 25), 26), 27), 28 ), 29), 30), 31), 32), 33), 34), 35), 36), 37), 38) and 39) of paragraph 16, subparagraphs 7), 13), 14), 15), 16) and 17) of paragraph 17, subparagraphs 15), 16), 17), 18), 19), 20), 21), 22), 23), 24), 25), 26), 27), 28) , 29), 30), 31), 32), 33), 34), 35), 36), 37), 38) and 39) of paragraph 18, subparagraph 1) of paragraph 19, subparagraphs 1) and 3) of paragraph 20 and 21, subparagraphs 11), 12), 13), 14), 15), 16), 17), 18), 19), 20), 21) and 22) of paragraph 22, subparagraph 1) of paragraph 23, subparagraphs 1 ) and 2) paragraph 24, subparagraphs 1), 2), 3), 4), 5), 6), 7), 8) and 9) paragraph 25 subparagraphs 13), 14), 15), 16), 17 ), 18), 19), 20), 21), 22), 23), 24), 25), 26), 27), 28), 29) and 30) of paragraph 26, subparagraph 1) of paragraph 27, subparagraphs 1) and 3) of paragraph 30, subparagraphs 7), 9), 10), 11), 12), 13), 14), 15), 16), 17), 18) and 19) of paragraph 31 of the Rules listed in the State Register on the basis of information and documents provided by the issuer;
3) subparagraphs 1), 2), 3), 6), 7) and 10) of paragraph 12, subparagraphs 1), 2), 3), 4), 5) and 6) of paragraph 14, subparagraphs 7), 8) , 9), 10) and 11) of paragraph 28, subparagraphs 3), 4), 5), 6), 7) and 8) of paragraph 29, subparagraphs 1), 2), 3), 4), 5), 6 ) and 7) of paragraph 32, subparagraphs 1), 2), 3), 4) and 5) of paragraph 33 of the Rules shall be formed in the State Register from reports on the results of placement and (or) redemption of securities;
4) in subparagraphs 1) and 3) of paragraph 13 of the Rules, as well as information about ISIN codes are generated in the State Register automatically from the database of the Central Depository;
5) in subparagraph 4) of paragraphs 10, 16, 17 and 26 and in subparagraph 3) of paragraph 22 are formed in the State Register from the conditions for issuing equity securities and the rules of a mutual investment fund.
10. At the state registration of issues of declared shares in the State Register, the following data shall be formed:
1) full and abbreviated name of the issuer in Kazakh, Russian and English;
2) organizational and legal form of the issuer;
3) business identification number (hereinafter - BIN) of the issuer;
4) Legal Entity Identifier, if available;
5) the main activity of the issuer;
6) information on the type of issuer, indicating one of the entries: “commercial organization” or “non-commercial organization”;
7) participation of non-residents of the Republic of Kazakhstan in the authorized capital of the issuer, indicating one of the entries: “yes” or “no”;
8) location of the issuer (included in the National Register of Business Identification Numbers);
9) actual address of the issuer;
10) postal address of the issuer;
11) contact phone numbers, fax numbers and e-mail address of the issuer;
12) history of the issuer's creation, indicating one of the entries: “newly created”, “reorganization” with the mark “accession”, “spin-off”, “transformation”, “merger”, “separation”;
13) the name of the state body that carried out the state registration (re-registration) of the issuer;
14) date of state registration (re-registration) of the issuer;
15) date of primary state registration of the issuer;
16) information about an official or other person authorized to sign documents on behalf of the issuer for the state registration of issues of declared shares, indicating full name and position;
17) name of the paying agent (if any);
18) name of the custodian (if any);
19) the amount of the authorized capital;
20) data on the international identification number (ISIN code);
21) type of shares;
22) conditions, terms and procedure for the exchange of shares;
23) nominal value of the shares paid by the joint-stock company founders;
24) the number of declared shares by type;
25) the amount of dividends on preferred shares;
26) presence of a golden share with an indication of one of the entries: “yes” or “no”;
27) data on the joint-stock company founders indicating the full name, or the name of the legal entity (entities) and BIN, as well as the number and share of shares acquired by the founders;
28) date of state registration of the issue of declared shares;
29) information on directing by the authorized body of the data to the issuer on the state registration of the issue of authorized shares by the number and code of the administrative document or application (NACAD );
30) the prospectus for the issue of announced shares in the Kazakh and Russian languages in electronic form;
31) note (if available).
11. At the state registration of changes and (or) additions to the share issue prospectus, the following data shall be formed in the State Register:
1) brief information on the changes and (or) additions made to the share issue prospectus;
2) the date of state registration of changes and (or) additions to the share issue prospectus;
3) information on directing by the authorized body of the data to the issuer on the state registration of changes and (or) additions to the share issue prospectus;
4) the prospectus for the issue of announced shares, taking into account changes and (or) additions, in the Kazakh and Russian languages in electronic form.
12. When approving reports on the results of placement of joint-stock company shares in the State Register, the following data shall be formed:
1) the type of report on the results of placement of joint-stock company shares, indicating one of the entries: “final” or “interim”;
2) the start date of the reporting period for the placement of the joint-stock company shares;
3) the end date of the reporting period for the placement of the joint-stock company shares;
4) the date of filing the report on the results of placement of the joint-stock company shares;
5) the date of approval of the report on the results of the placement of the joint-stock company shares;
6) the number of placed shares for the reporting period of shares placement by types;
7) volume of placement of shares over the reporting period by types;
8) method of shares placement, indicating one of the entries: “among the founders”, “preemptive right”, “auction”, “subscription”, “other”;
9) place of shares placement, indicating one of the following entries: “organized market” or “non-organized market”;
10) information on directing by the authorized body to the issuer of the data on approval of the report on the results of the shares placement by the number and code of the administrative document or application (NACAD );
11) a report on the results of joint-stock company shares placement in Kazakh and Russian languages in electronic form.
13. When annulling an entry on approval of a report on the results of joint-stock company shares placement upon enforced court ruling, the following data shall be formed in the State Register:
1) on the number of placed securities of the issuer received from the Central Depository after the court ruling execution;
2) the authorized capital of the issuer, adjusted to the court ruling;
3) a record that the report was annulled by the court ruling (name of the court, date and number of the enforced ruling);
4) note (if available).
14. When approving reports on the exchange of placed shares of a joint-stock company of one type for shares of this joint-stock company of another type, the following data shall be formed in the State Register:
1) the date of the decision of the general meeting of shareholders (sole shareholder) on the exchange of placed shares of a joint-stock company of one type for shares of this joint-stock company of another type;
2) the ratio of one exchanged placed share of a joint-stock company of one type to the number of shares of this company of another type subject to exchange;
3) the term for the exchange of placed shares of a joint-stock company of one type for shares of this joint-stock company of another type;
4) the number of shares by types that were subject to exchange;
5) the number of shares by types that were not subject to exchange;
6) the number of placed shares by type, taking into account the exchange;
7) the date of approval of the report on the exchange of placed shares of a joint-stock company of one type for shares of this joint-stock company of another type;
8) report on the exchange of placed shares of a joint-stock company of one type for shares of this joint-stock company of another type in electronic form;
9) note (if any).
15. In the annulment of share issues, the following data shall be generated in the State Register:
1) the date of filing documents for the annulment of the issue of shares;
2) the date of annulment of the issue of shares;
3) the ground for the annulment of the share issue, indicating one of the entries: “reorganization (merger, acquisition, division, separation, transformation)”, “enforced court ruling to annul the state registration of the share issue”, “voluntary liquidation”, “enforced court ruling on compulsory liquidation of a joint-stock company”, “liquidation according to the data of the National Register of Business Identification Numbers”, “reorganization according to the data of the National Register of Business Identification Numbers”;
4) information on the court ruling on the claim of the authorized body, indicating one of the entries: “yes” or “no” (in case of annulment based on the court ruling );
5) note (if any).
16. At the state registration of issues of non-government bonds, the following data shall be formed in the State Register:
1) full and abbreviated name of the issuer in Kazakh, Russian and English;
2) organizational and legal form of the issuer;
3) BIN of the issuer;
4) Legal Entity Identifier, if available;
5) the main activity of the issuer;
6) participation of non-residents of the Republic of Kazakhstan in the authorized capital of the issuer, indicating one of the entries: “yes” or “no”;
7) information about the rating (if any);
8) location of the issuer (included in the National Register of Business Identification Numbers);
9) actual address of the issuer;
10) postal address of the issuer;
11) contact phone numbers, fax numbers and e-mail address of the issuer;
12) the history of the issuer's creation, indicating one of the entries:: “newly created”, “reorganization” with the mark “accession”, “spin-off”, “transformation”, “merger”, “separation”;
13) the name of the state body that carried out the state registration (re-registration) of the issuer;
14) date of the state registration (re-registration) of the issuer;
15) date of primary state registration of the issuer;
16) information about participants or major shareholders of the issuer, indicating their full names or the name (s) of the legal entity (s) and BIN;
17) information about an official or other person authorized to sign documents on behalf of the issuer for the state registration of issues of non-government bonds, indicating the full name and position;
18) name of the paying agent (if any);
19) name of the bondholders' representative (if any);
20) data on the international identification number (ISIN code);
21) type of non-government bonds;
22) the nominal value of non-government bonds, indicating the currency in which the nominal value is expressed;
23) the number of declared non-government bonds;
24) volume of non-government bonds issue;
25) term of non-government bonds circulation;
26) type of placement start date indicating one of the entries: “from the date of state registration of the issue of non-government bonds”, “from the date of the first trading in non-government bonds on the stock exchange”, “from the date of inclusion of non-government bonds in the listing of the stock exchange”, “other”;
27) start date of non-government bonds placement (if any);
28) estimated redemption date;
29) interest rate on non-government bonds, indicating one of the entries: “discount”, “fixed rate of return”, “floating rate of return”, “other”, indicating the interest amount;
30) payment frequency of coupon interest on non-government bonds (if any);
31) data on the conversion of non-government bonds, indicating one of the entries: “non-convertible”, “convertible” and “no data”;
32) data on the possibility of early redemption of non-government bonds, indicating one of the entries: “provided for” and “not provided for”;
33) events, upon the occurrence of which a default may be declared on the issuer's non-government bonds;
34) data on the originator (when issuing non-government bonds of a special financial company);
35) information on whether the issue of non-government bonds is associated with restructuring, indicating one of the entries: “yes” or “no”;
36) the place of non-government bonds placement according to the prospectus for the issue of non-government bonds, indicating one of the entries: “organized market” or “unorganized market”;
37) the place of non-government bonds circulation according to the prospectus for the issue of non-government bonds, indicating one of the entries: “organized market” , “unorganized market” or “organized and unorganized markets”;
38) information on availability and type of collateral for non-government bonds, indicating one of the entries: “secured by a guarantee and (or) guarantee of the state”, “secured by a bank guarantee”, “secured by the issuer’s property”, “without collateral”;
39) intended purpose of using the money received from the placement of non-government bonds;
40) note (if any);
41) date of the state registration of non-government bonds issue;
42) information on directing by the authorized body to the issuer the data on the state registration of the issue of non-government bonds by the number and code of the administrative document or the application (NACAD );
43) conditions for issuing non-government bonds in Kazakh and Russian languages in electronic form.
17. At the state registration of issues of bond programs in the State Register, the following data shall be formed:
1) full and abbreviated name of the issuer in Kazakh, Russian and English;
2) organizational and legal form of the issuer;
3) BIN of the issuer
4) Legal Entity Identifier, if available;
5) the main activity of the issuer;
6) participation of non-residents of the Republic of Kazakhstan in the authorized capital of the issuer, indicating one of the entries: “yes” or “no”;
7) information about the rating (if available);
8) location of the issuer (included in the National Register of Business Identification Numbers);
9) contact phone numbers, fax numbers and e-mail address of the issuer;
10) the history of the issuer's creation, indicating one of the entries: “newly created”, “reorganization” with the mark “accession”, “spin-off”, “transformation”, “merger”, “separation”;
11) the name of the state body that carried out the state registration (re-registration) of the issuer;
12) date of state registration (re-registration) of the issuer;
13) data on participants or major shareholders of the issuer, indicating the full name, or the name (s) of the legal entity (s) and BIN;
14) data on an official or other person authorized to sign documents on behalf of the issuer for state registration of the issue of bond programs, indicating the full name and position;
15) information on whether the issue of non-government bonds is registered simultaneously with the issue of the bond program with indication of the entries “yes” or “no”;;
16) serial number of the bond program;
17) note (if any);
18) date of state registration of the bond program;
19) information on directing by the authorized body to the issuer the data on the state registration of the bond program issue by the number and code of the administrative document or the application (NACAD );
20) conditions for issuing a bond program in Kazakh and Russian languages in electronic form.
18. At the state registration of issues of non-government bonds within the bond program, the following data shall be formed in the State Register:
1) full and abbreviated name of the issuer in Kazakh, Russian and English;
2) organizational and legal form of the issuer;
3) BIN of the issuer;
4) the main activity of the issuer;
5) participation of non-residents of the Republic of Kazakhstan in the authorized capital of the issuer, indicating one of the entries: “yes” or “no”;
6) data on the rating (if available);
7) location of the issuer (included in the National Register of Business Identification Numbers);
8) actual address of the issuer;
9) postal address of the issuer;
10) contact phone numbers, fax numbers and e-mail address of the issuer;
11) the history of the issuer's creation, indicating one of the entries: “newly created”, “reorganization” with the mark “accession”, “spin-off”, “transformation”, “merger”, “separation”;
12) the name of the state body that performed the state registration (re-registration) of the issuer;
13) date of state registration (re-registration) of the issuer;
14) date of primary state registration of the issuer;
15) data on participants or major shareholders of the issuer, indicating the full name, or the name (s) of the legal entity (s) and BIN;
16) data on an official or other person authorized to sign documents on behalf of the issuer for the state registration of issues of non-government bonds within the bond program, indicating the full name and position;
17) name of the paying agent (if any);
18) name of the bondholders' representative (if any);
19) data on the international identification number (ISIN code);
20) type of non-government bonds;
21) nominal value of non-government bonds, indicating the currency in which the nominal value is expressed;
22) the number of announced non-government bonds;
23) volume of non-government bonds issue;
24) term of non-government bonds circulation;
25) type of placement start date indicating one of the entries: “from the date of state registration of the issue of non-government bonds”, “from the date of the first trading in non-government bonds on the stock exchange”, “from the date of inclusion of non-government bonds in the listing of the stock exchange”, “other”;
26) start date of placement of non-government bonds (if any);
27) estimated date of repayment;
28) interest rate on non-government bonds, indicating one of the entries: “discount”, “fixed rate of return”, “floating rate of return”, “other”, indicating the interest amount;
29) frequency of payment of coupon interest on non-government bonds (if any);
30) information on the conversion of non-government bonds, indicating one of the entries: “non-convertible”, “convertible” and “no data”;
31) information on the possibility of early redemption of non-government bonds, indicating one of the entries: “provided for” and “not provided for”;
32) events upon the occurrence of which a default on non-government bonds may be declared;
33) data on the originator (when issuing non-government bonds of a special financial company);
34) information on whether the issue of non-government bonds is associated with restructuring, indicating one of the entries: “yes” or “no”;
35) the place of non-government bonds placement according to the prospectus for the issue of non-government bonds, indicating one of the entries: “organized market” or “unorganized market”;
36) the place of non-government bonds circulation according to the prospectus for the issue of non-government bonds, indicating one of the entries: “organized market”, “unorganized market”; or “organized and unorganized markets”;
37) data on the availability and type of collateral for non-government bonds, indicating one of the entries: “secured by a guarantee and (or) the state guarantee”, “secured by a bank guarantee”, “secured by pledge of property”, “without collateral”;
38) intended purpose of using the money received from the placement of non-government bonds;
39) serial number of the bond program;
40) note (if any);
41) date of state registration of the issue of non-government bonds;
42) information on directing by the authorized body to the issuer the data on the state registration of the issue of non-government bonds by the number and code of the administrative document or the application (NACAD );
43) conditions for issuing non-government bonds within the bond program in Kazakh and Russian languages in electronic form.
19. At the state registration of changes and (or) additions to the prospectus for the issue of non-government bonds (prospectus of the bond program) in the State Register, the following data shall be formed:
1) brief information on the amendments and (or) additions to the prospectus for the issue of non-government bonds (prospectus of the bond program);
2) the date of state registration of changes and (or) additions to the prospectus for the issue of non-government bonds (prospectus of the bond program);
3) data on directing by the authorized body to the issuer the information on the state registration of changes and (or) additions to the prospectus for the issue of non-government bonds (bond program);
4) conditions for issuing non-government bonds (bond program) subject to changes and (or) additions in Kazakh and Russian languages in electronic form.
20. When accepting the notification of the results of non-government bonds redemption, the following data shall be generated in the State Register:
1) the date of filing the notification on the non-government bonds redemption results;
2) the date of accepting the notice of the non-government bonds redemption results ;
3) date of non-government bonds redemption;
4) note (if available).
21. In the annulment of non-government bonds issues, the following data shall be generated in the State Register:
1) the date of filing documents for annulment of the non-government bonds issue;
2) date of non-government bonds issue annulment;
3) the ground for annulment of the non-government bonds issue, indicating one of the entries: “not a single non-government bond of this issue was placed”, “all non-government bonds of this issue were redeemed by the issuer in the secondary securities market”, “the term of non-government bonds circulation of this issue has expired”;
4) note (if available).
22. At the state registration of equity shares issues, the following data shall be formed in the State Register:
1) full and abbreviated name of the asset management company in Kazakh, Russian and English;
2) BIN of the asset management company;
3) Legal Entity Identifier code of the asset management company (if any);
4) the main activity of the asset management company;
5) location of the asset management company (included in the National Register of Business Identification Numbers);
6) actual address of the asset management company;
7) postal address of the asset management company;
8) contact phone numbers, fax and e-mail address of the asset management company;
9) date of state registration (re-registration) of the asset management company;
10) date of primary state registration of the asset management company;
11) data on an official or other person authorized to sign on behalf of the asset management company the documents for the state registration of equity shares issues, indicating the full name and position;
12) the number and date of the asset management company's license to carry out investment portfolio management activities in the securities market;
13) the name of the mutual investment fund in Kazakh, Russian and English;
14) type of the mutual investment fund, indicating one of the entries "open", "interval", "closed";
15) data on the international identification number (ISIN);
16) type of circulation start date indicating one of the entries: “from the date of state registration of the issue of the equity shares”, “from the date of the first trading in equity shares on the stock exchange”, “from the date of inclusion of equity shares in the listing of the stock exchange”, “other”;
17) date of equity shares circulation commencement (if any);
18) conditions for the commencement of equity shares placement;
19) nominal value of a share;
20) currency in which the nominal value of the equity shares is expressed;
21) composition of the mutual investment fund assets, indicating one of the entries “real estate”, “securities and financial instruments”, “mixed assets”, “derivative financial instruments”, “none of the above”;
22) name of the custodian;
23) note (if any);
24) date of the state registration of the equity shares issue;
25) information on directing the data by the authorized body to the address of the management company, on the state registration of the issue of equity shares by the number and code of the administrative document or the application (NACAD ), if any;
26) rules of the mutual investment fund in Kazakh and Russian languages in electronic form.
23. When agreeing on changes and (or) additions to the rules of a mutual investment fund, the following data shall be formed in the State Register:
1) brief information on amendments and (or) additions to the rules of the mutual investment fund;
2) the date of approval of amendments and (or) additions to the rules of the mutual investment fund;
3) the number and date of the letter from the authorized body sent to the asset management company on the approval of amendments and (or) additions to the rules of the mutual investment fund;
4) the rules of the mutual investment fund, with regard to changes and (or) additions in the Kazakh and Russian languages in electronic form.
24. When redeeming the equity shares, upon results of review of information on termination of a mutual investment fund, the following data shall be formed in the State Register:
1) the date of the decision to terminate the mutual investment fund;
2) date of the equity shares redemption.
25. When issuing a permit for the issue and (or) placement of emission securities in the territory of a foreign state, the following data shall be formed in the State Register:
1) the name of the state under whose legislation the issue of securities is carried out;
2) the name of the foreign state on the territory of which the emission security will be placed (this information is indicated when issuing a permit for the emission securities placement );
3) type of security;
4) issue currency;
5) volume of release;
6) the number of securities;
7) nominal value;
8) placement price;
9) ratio to the underlying asset (when issuing depositary receipts or derivative securities);
10) date of issuance of the permit;
11) note (if any);
12) information on directing by the authorized body to the issuer the data on the issuance of a permit for the issue and (or) placement of emission securities in the territory of a foreign state by the number and code of the administrative document or the application (NACAD ).
26. At the state registration of Islamic securities issues, the following data shall be formed in the State Register:
1) full and abbreviated name of the issuer and originator in Kazakh, Russian and English;
2) organizational and legal form of the issuer and originator;
3) BIN of the issuer;
4) Legal Entity Identifier, if available;
5) the main activity of the issuer and the originator;
6) location of the issuer and originator (included in the National Register of Business Identification Numbers);
7) actual address of the issuer;
8) postal address of the issuer;
9) contact phone numbers, fax numbers and e-mail address of the issuer and originator;
10) the name of the state body that performed the state registration (re-registration) of the issuer and originator;
11) date of the state registration (re-registration) of the issuer and originator;
12) date of primary state registration of the issuer and originator;
13) data on the major shareholders of the issuer, indicating the full name, or the name (s) of the legal entity (entities) and BIN;
14) data on the official of the issuer authorized to sign documents on behalf of the issuer for the state registration of Islamic securities issues, and the official of the council on the Islamic finance principles, indicating full name and position;
15) name of the representative of Islamic securities holders (if any);
16) name of the paying agent (if any);
17) data on the international identification number (ISIN code);
18) type of Islamic securities, indicating one of the entries: “Islamic lease certificates”, “Islamic participation certificates”, “securities recognized as Islamic securities in accordance with the legislation of the Republic of Kazakhstan”;
19) the number of declared Islamic securities;
20) the nominal value of an Islamic security (if any);
21) currency of nominal value (placement price) of Islamic securities;
22) volume of Islamic securities issuance;
23) circulation term of Islamic securities (if any);
24) estimated date of redemption;
25) start and end date of placement;
26) date of the circulation commencement;
27) income payment terms on Islamic securities (if any);
28) data on Islamic securities redemption: date, method (if any);
29) intended purpose of using the money received from Islamic securities placement;
30) information on the type of collateral for Islamic securities, indicating one of the entries: “secured by a guarantee and (or) guarantee of the state”, “secured by a bank guarantee”, “secured by a pledge of property”, “without collateral”;
31) note (if any);
32) date of state registration of the Islamic securities issue;
33) the date of sending information by the authorized body to the issuer, on the state registration of the Islamic securities issuing;
34) the prospectus for Islamic securities issuing in the Kazakh and Russian languages in electronic form.
27. At the state registration of changes and (or) additions to the prospectus for Islamic securities issuing, the following data shall be formed in the State Register:
1) brief information about the changes and (or) additions to the prospectus for Islamic securities issuing;
2) the date of state registration of changes and (or) additions to the prospectus for Islamic securities issuing;
3) information on directing by the authorized body to the issuer of the data on state registration of changes and (or) additions to the prospectus for Islamic securities issuing;
4) the prospectus for Islamic securities issuing, taking into account changes and (or) additions, in the Kazakh and Russian languages in electronic form.
28. When approving reports on the results of Islamic securities placement, the following data shall be generated in the State Register:
1) type of report indicating one of the entries: “final” or “interim”;
2) the start date of the reporting period for the Islamic securities placement;
3) end date of the reporting period for the Islamic securities placement;
4) the date of reporting on the results of Islamic securities placement;
5) date of approval of the report on the results of Islamic securities placement;
6) the number of placed Islamic securities for the reporting period;
7) the amount of attracted funds for the reporting period;
8) the number of repurchased Islamic securities as of the end date of the reporting period;
9) data on Islamic securities holders;
10) name of the underwriter (if any);
11) name of the originator (if any);
12) note (if available).
29. When approving reports on the results of Islamic securities redemption, the following data shall be generated in the State Register:
1) the date of reporting on the results of the Islamic securities redemption;
2) the date of approval of the report on the results of the Islamic securities redemption;
3) maturity date of Islamic securities;
4) the number of early redeemed Islamic securities;
5) the amount of money transferred by the originator to the issuer for the redemption of Islamic securities (if any);
6) the amount of money attracted from the reserve fund for the redemption of Islamic securities (if any);
7) the total amount of income paid on Islamic securities;
8) the amount of Islamic securities redemption;
9) note (if any).
30. When annulling Islamic securities issues, the following data shall be generated in the State Register:
1) the date of filing documents for annulment of the Islamic securities issue;
2) the date of annulment of the Islamic securities issue;
3) the ground for annulment of the Islamic securities issue;
4) note (if available).
31. At the state registration of issues of Kazakhstan depository receipts, the following data shall be formed in the State Register:
1) full and abbreviated name of the issuer in Kazakh, Russian and English;
2) organizational and legal form of the issuer;
3) BIN of the issuer;
4) location of the issuer (included in the National Register of Business Identification Numbers);
5) the name of the state body that carried out the state registration (re-registration) of the issuer;
6) date of state registration (re-registration) of the issuer;
7) data on an official or other person authorized to sign documents on behalf of the issuer for the state registration of issues of Kazakhstan depositary receipts, indicating the full name and position;
8) data on the international identification number (ISIN code);
9) the number of announced Kazakhstan depositary receipts;
10) the number of securities per one Kazakhstan depositary receipt;
11) the name of the issuer of emission securities, which are the underlying asset of Kazakhstan depositary receipts;
12) the country of location of the emission securities issue, which are the underlying asset of Kazakhstan depositary receipts;
13) the name of the emission security, which is the underlying asset of Kazakhstan depositary receipts, information on the international identification number (ISIN code} if any;
14) redemption date of the emission securities that are the underlying asset of Kazakhstan depositary receipts (if any);
15) type of remuneration for the emission securities, which are the underlying asset of Kazakhstan depositary receipts, indicating one of the entries: “fixed rate of return”, “floating rate of return”, “discount” (if any);
16) the amount of dividends or interest rate on emission securities, which are the underlying asset of Kazakhstan depositary receipts (if any);
17) currency of value of Kazakhstan depositary receipts;
18) the name of non-resident organization of the Republic of Kazakhstan, which carries out accounting and certification of rights on the emission securities, which are the underlying asset of Kazakhstan depositary receipts;
19) the name of the stock exchange where the listing of emission securities, which are the underlying asset of Kazakhstan depositary receipts, was made, indicating the category of listing (if any);
20) date of state registration of the issue of Kazakh depositary receipts;
21) prospectus for the issue of Kazakhstan depositary receipts in Kazakh and Russian languages in electronic form;
22) note (if available).
32. When approving reports on the results of Kazakhstan depositary receipts placement, the following data shall be generated in the State Register:
1) type of the report on Kazakhstan depository receipts placement results, indicating one of the entries: “final” or “interim”;
2) the start date of the reporting period on Kazakhstan depositary receipts placement;
3) end date of the reporting period on Kazakhstan depositary receipts placement;
4) the date of reporting on Kazakhstan depositary receipts placement results;
5) the date of approval of the report on Kazakhstan depositary receipts placement results;
6) the number of placed Kazakhstan depositary receipts as of the end date of the reporting period for Kazakhstan depositary receipts placement;
7) report on Kazakhstan depositary receipts placement results in Kazakh and Russian languages in electronic form.
33. When approving reports on the results of Kazakhstan depository receipts redemption, the following data shall be generated in the State Register:
1) the date of reporting on the results of Kazakhstan depository receipts redemption;
2) date of Kazakhstan depositary receipts redemption;
3) date of approval of the report on Kazakhstan depository receipts redemption results;
4) the number of redeemed Kazakhstan depository receipts as of the end date of the reporting period;
5) the total number of redeemed Kazakhstan depository receipts from the circulation commencement date;
6) note (if any).
34. When suspending and resuming the emission securities placement, the following data shall be formed in the State Register:
1) the date and number of the authorized body’s resolution to suspend the emission securities placement;
2) the ground for suspending the placement of shares, indicating one of the entries: “the company's failure to provide a report on the results of the joint-stock company shares placement”, “discrepancies between the information specified in the report on the results of the joint-stock company shares placement and the documents provided for state registration of the issue of announced shares”, “violations of the conditions for the issue, placement and redemption of emission securities”, “the presence of facts of untimely fulfillment or non-fulfillment of obligations to pay interest or redeem previously issued bonds”;
3) date of suspension of emission securities placement;
4) date of expiration of the term for suspension of the emission securities placement or the event at which the term of suspension expires (if any);
5) date and number of the authorized body’s notification on resumption of emission securities placement;
6) the date of resuming the emission securities placement;
4) note (if available).
35. When suspending and resuming the emission securities circulation, the following data shall be formed in the State Register:
1) the date and number of the resolution to suspend the circulation of emission securities;
2) the ground for suspension of the non-government bonds circulation, indicating one of the entries: “ requirements of the legislation of the Republic of Kazakhstan, establishing the rights and interests of investors in acquiring non-government bonds are violated” or “requirements of the legislation of the Republic of Kazakhstan, establishing the conditions and procedure for transactions with non-government bonds are violated”;
3) the date of suspension of the emission securities circulation;
3) the established date for the resumption of non-government bonds circulation;
4) expiry date of the term for suspension of the emission securities circulation or the event at which the term of suspension expires (if any);
5) date and number of the authorized body’s notification on resumption of emission securities circulation;
6) the date of resumption of emission securities circulation;
4) note (if available).
