Unofficial translation
Note!
The reporting deadlines are extended during the period of a state of emergency introduced by the Decree of the President of the Republic of Kazakhstan dated 15.03.2020 № 285 "On 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 31.03.2020 № 42 (shall be enforced from the date of its first official publication).
Footnote. Title - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
In pursuance of paragraph 1 of Article 92 of the Administrative Procedural Code of the Republic of Kazakhstan, subparagraph 58) of part two of Article 15 of the Law of the Republic of Kazakhstan “On the National Bank of the Republic of Kazakhstan”, subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan “On State Statistics”, paragraph 2 of Article 12 of the Law of the Republic of Kazakhstan “On Permits and Notifications”, subparagraph 2) of paragraph 4 of Article 5 and paragraph 7 of Article 12 of the Law of the Republic of Kazakhstan “On Currency Regulation and Currency Control” The Board of the National Bank of the Republic of Kazakhstan RESOLVES:
Footnote. Preamble - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).1. Approve the attached Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan.
Footnote. Paragraph 1 - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).2. To declare to be no longer in force certain decrees of the Managing Board of the National Bank of the Republic of Kazakhstan based on the list according to the annex to this decree.
3. The Department of Payment Balance and Currency Regulation (Kuandykov A.A.) according to the procedure established by the legislation of the Republic of Kazakhstan shall ensure:
1) jointly with the Legal Department (Sarsenova N.V.) state registration of this decree with the Ministry of Justice of the Republic of Kazakhstan;
2) within ten calendar days from the date of state registration of this decree, the direction of it in Kazakh and Russian languages to the Republican State Enterprise of the Right of Economic Management “Republican Center of Legal Information” of the Ministry of Justice of the Republic of Kazakhstan for official publication and inclusion in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan;
3) posting this decree on the official 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 decree, submission to the Legal Department, of information on the implementation of measures provided for in sub-clauses 2) and 3) of this clause and clause 4 of this decree.
4. The Department of Protection of the Rights of Consumers of Financial Services and External Communications (Terentyev A.L.) shall ensure within ten calendar days after the state registration of this decree, sending of its copy for official publication in the printed periodicals.
5. Control over execution of this decree shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Smolyakov O.A.
6. This decree shall be subject to official publication and shall come into force from July 1, 2019.
|
Chairman of the National Bank |
Ye. Dossayev |
"AGREED"
Ministry of Finance
of the Republic of Kazakhstan
March 28, 2019
"AGREED"
Statistics Committee
Ministry of National Economy
of the Republic of Kazakhstan
March 28, 2019
"AGREED"
Ministry of Digital Development,
Defense and Aerospace
Industry of the Republic of Kazakhstan
March 29, 2019
| Approved by the decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 № 49 |
Rules
for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan
Footnote. Title - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan as of December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
Chapter 1. General provisions
1. These Rules for execution of exchange transactions with foreign currency in cash in the Republic of Kazakhstan (hereinafter referred to as the Rules) were developed in pursuance of the laws of the Republic of Kazakhstan “On the National Bank of the Republic of Kazakhstan”, “On banks and banking activities in the Republic of Kazakhstan” (hereinafter referred to as the Law on Banks ), “On State Statistics”, “On State Services”, “On Permits and Notifications” (hereinafter referred to as the Law on Permits), “On Currency Regulation and Currency Control” (hereinafter referred to as the Law on Currency Regulation) and establish the procedure for the licensing of authorized organizations, including qualification requirements for them, notifications by the authorized bank about the commencement or termination of the activities of exchange offices, requirements for activities in the execution of exchange transactions with cash foreign currency, operating conditions of exchange offices and the procedure for conducting transactions on the purchase and (or) sale of refined gold in bars, issued by the National Bank of the Republic of Kazakhstan (hereinafter referred to as the National Bank), as well as the forms and deadlines for reporting by authorized banks and authorized organizations.
Footnote. Paragraph 1 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).2. The following concepts shall be used in the Rules:
1) automated exchange office - an electronic-mechanical device owned by a legal entity authorized to perform exchange transactions with cash foreign currency, and which allows, without the participation of its employee, to perform exchange transactions by depositing cash into this device and receiving from it in cash an equivalent amount in other currency;
2) exchange transactions - operations on the purchase, sale and exchange of foreign currency in cash, carried out through exchange offices and automated exchange offices;
3) exchange office - a specially equipped place for carrying out exchange transactions with foreign currency in cash, created by an authorized organization or an authorized bank entitled to execute transactions with foreign currency in cash in the Republic of Kazakhstan under the license from the National Bank of the Republic of Kazakhstan or an authorized regulatory body for control and supervision of the financial market and financial organizations or the laws of the Republic of Kazakhstan;
4) operating cash desk of an exchange office - a specially equipped part of the premises of an exchange office, intended for a cash teller (cash teller’s work area) serving clients during transactions with foreign currency in cash, as well as during purchase and (or) sale of refined investment gold in certified gold bars, corresponding to the national standard of the Republic of Kazakhstan ST RK 2049 “Measured gold bars. Technical Specifications” issued by the National Bank of the Republic of Kazakhstan no earlier than 2017 (hereinafter referred to as refined gold bars);
5) hardware and software complex - a set of software and technical means that implement the functions of a cash register, providing record keeping of exchange transactions, purchase and (or) sale of refined gold in bars, non-correctable registration and non-volatile storage of information on completed exchange transactions, transactions for the purchase and (or) sale of refined gold in bars;
6) airport - a set of facilities intended for reception and dispatch of aircraft, servicing air transportation and having for these purposes an airfield, an air terminal, and other necessary facilities and equipment;
7) unified contact center - a legal entity determined by the Government of the Republic of Kazakhstan, performing the functions of an information and reference service for providing service recipients with information on the rendering of state and other services, as well as state bodies with information on the provision of information and communication services;
8) casino – a gambling establishment in which gaming tables are used to organize and conduct gambling;
9) service recipient - legal entities, with the exception of central state bodies, foreign institutions of the Republic of Kazakhstan, local executive bodies of oblasts, cities of republican status, the capital, districts, cities of oblast significance, akims of districts in the city, cities of regional significance, towns, villages, rural districts;
10) valid license - an issued or reissued license for exchange transactions with foreign currency in cash, the validity of which has not been suspended or terminated;
11) foreign currency in cash– banknotes, coins and treasury bills in circulation accepted by foreign states as legal tender;
12) a legal entity that has the right to carry out exchange transactions with foreign currency in cash - an authorized organization or an authorized bank entitled to execute exchange transactions with foreign currency in cash in accordance with the license issued by the National Bank, the authorized body for regulation, control and supervision of financial market and financial organizations or laws of the Republic of Kazakhstan;
13) electronic copy of a document - a document that fully reproduces the appearance and information (data) of the original document in electronic digital form;
14) valid attachment to the license - an issued or reissued attachment to the license for exchange transactions with foreign currency in cash, the validity of which has not been suspended or terminated;
15) attachment to the license - an integral part of the license for exchange transactions with foreign currency in cash, containing information on the actual location of the exchange office of the authorized organization;
16) state service - one of the forms of implementation of individual state functions or their totality, carried out at the request or without the request of service recipients and aimed at realizing their rights, freedoms and legitimate interests, providing them with relevant material or non-material benefits;
17) list of basic requirements for the state services rendering - a list of basic requirements for the state services rendering, including characteristics of the process, form, content and result of the rendering, as well as other information taking into account the state services rendering specifics;
18) information system for monitoring of the state services rendering - an information system designed to automate and monitor the process of state services rendering, including those provided through the State Corporation “Government for Citizens”;
19) authorized body for assessment and control over the quality of state services rendering - a central state body that, within its competence, carries out activities to assess and control the quality of state services rendering;
20) checkpoint across the State Border - a territory (water area) within a railway, automobile terminal or station, sea or river port, international airport or airfield, as well as another specially designated area in the immediate vicinity of the State Border with the corresponding infrastructure, where persons, vehicles, cargo and goods are allowed to pass through;
21) impeccable business reputation - the presence of facts confirming professionalism, integrity, absence of unexpunged or outstanding criminal record, including the absence of an effective court ruling on application of criminal punishment in the form of deprivation of the right to hold an executive position in a financial organization, banking and (or) insurance holding company and to be a major participant (major shareholder) of a financial organization for life;
22) stationary retail facility - a building or part of a building (built-in, built-in-attached, attached premises), structure or part of a structure (built-in, built-in-attached, attached premises), firmly connected to the ground and connected (technologically connected) to engineering and technical supply networks;
23) railway station - a complex of buildings, structures (including passenger platforms, station passages and station area) and other types of property intended to provide the population with services of transportation by rail and acceptance and delivery of baggage, cargo luggage, depending on the class;
24) authorized banks - banks and organizations established in the Republic of Kazakhstan that perform certain types of banking operations (with the exception of authorized organizations), as well as branches of foreign banks operating in the Republic of Kazakhstan that perform currency transactions, including on behalf of customers;
25) authorized organizations - financial organizations of the Republic of Kazakhstan that are not banks, operating exclusively through exchange offices on the basis of a license from the National Bank of the Republic of Kazakhstan for exchange transactions with foreign currency in cash;
26) national currency – monetary notes in the form of banknotes and coins of the National Bank of the Republic of Kazakhstan that are in circulation and are legal tender on the territory of the Republic of Kazakhstan, as well as withdrawn or being withdrawn from circulation, but subject to exchange for banknotes in circulation, money on bank accounts in monetary units of the Republic of Kazakhstan;
27) foreign currency - monetary notes in the form of banknotes, coins that are in circulation and are legal tender on the territory of a foreign state (group of states), as well as withdrawn or being withdrawn from circulation, but subject to exchange for banknotes in circulation, money on bank accounts in monetary units of foreign states (groups of states) and international monetary or payment units;
28) electronic license and electronic attachment to the license - a license for exchange transactions with foreign currency in cash and an attachment to the license in the form of an electronic document, drawn up and issued with the use of information technology, equivalent to a license and an attachment to the license on paper;
29) “electronic government” web portal - an information system that is a single window of access to all consolidated government information, including the regulatory legal framework, and to state services, services of issuing technical specifications for connecting to the networks of natural monopoly entities and services of quasi-state sector entities provided in electronic form;
30) electronic digital signature – a set of electronic digital symbols created by means of an electronic digital signature and confirming the authenticity of the electronic document, its ownership and invariability of content.
Footnote. Paragraph 2 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).3. An authorized bank or an authorized organization (its branch) shall submit reports to the National Bank required by the Rules through the use of information systems in compliance with the procedures of validation by electronic digital signature.
If the deadline for submitting a report established by the Rules expires on a non-working day, then the date of expiration of the deadline for submission of the report shall be considered the next working day following it.
Footnote. Paragraph 3 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective from 01.01.2024).4. A legal entity entitled to execute exchange transactions with foreign currency in cash, before conducting exchange transactions, purchase and (or) sale of refined gold bullion, shall undertake due diligence measures on the clients in accordance with Article 5 of the Law of the Republic of Kazakhstan “On Countering Legalization (laundering) of incomes received by illegal means and financing of terrorism” (hereinafter referred to as the AML Law).
Footnote. Paragraph 4 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective from 01.01.2024).Chapter 2. Qualification requirements for authorized organizations
5. The authorized organization shall be created in organizational-legal form of the limited liability partnership.
6. The founders, participants (one of the founders, participants) of the authorized organization are individual and legal entities - residents and non-residents of the Republic of Kazakhstan, with the exception of:
1) persons who are founders, participants (one of the founders, participants) of the authorized organization, in respect of which a decision was made to revoke the license for exchange operations with foreign currency in cash, from the date of which three years have not expired;
2) persons who do not have an impeccable business reputation;
3) persons on the list of organizations and persons associated with the financing of terrorism and extremism and (or) financing of proliferation of weapons of mass destruction, in accordance with the Law on countering the legalization (laundering) of proceeds from crime and financing of terrorism (the Law on AML);
4) persons registered in one of the following foreign states and (or) parts of the territories of foreign states characterized as offshore zones:
The United States of America (only in part of the territories of the U.S. Virgin Islands, Wyoming, Guam, Delaware and the Commonwealth of Puerto Rico);
The Principality of Andorra;
The State of Antigua and Barbuda;
Commonwealth of the Bahamas;
The State of Barbados;
The State of Belize;
The State of Brunei Darussalam;
The United Republic of Tanzania;
The Republic of Vanuatu;
The Republic of Guatemala;
The State of Grenada;
The Republic of Djibouti;
The Commonwealth of Dominica;
The Dominican Republic;
New Zealand (only in part of the Cook Islands and Niue);
Spain (only in part of the territory of the Canary Islands);
The Federal Islamic Republic of the Comoros;
The Cooperative Republic of Guyana;
The Republic of Costa Rica;
People's Republic of China (only in part of the territories of the Macao special administrative region);
The Republic of Liberia;
The Lebanese Republic;
The Principality of Liechtenstein;
The Islamic Republic of Mauritania;
Malaysia (only in part of the territory of the Labuan enclave);
The Republic of Maldives;
The Republic of Malta;
The Mariana Islands;
The Republic of the Marshall Islands;
The Kingdom of Morocco (only in part of the city of Tangier);
The Union of Myanmar;
The Republic of Nauru;
The Federal Republic of Nigeria;
Netherlands (only in part of the territory of the island of Aruba and the dependent territories of the Antilles);
The Republic of Palau;
The Republic of Panama;
Portugal (only in part of the territory of the Madeira Islands);
The Independent State of Samoa;
Republic of Seychelles;
The State of Saint Vincent and the Grenadines;
The Federation of Saint Kitts and Nevis;
The State of Saint Lucia;
The Republic of Suriname;
The Kingdom of Tonga;
The Republic of Trinidad and Tobago;
The United Kingdom of Great Britain and Northern Ireland (only in part of the territories of Anguilla, Bermuda, British Virgin Islands, Gibraltar, Cayman Islands, Montserrat Islands, Turks and Caicos Islands);
The Sovereign Democratic Republic of Fiji;
The Republic of the Philippines;
The French Republic (only in part of the territories of French Guiana and French Polynesia);
The Republic of Montenegro;
The Democratic Republic of Sri Lanka;
Jamaica;
5) persons registered (residing) in a state (territory) that does not comply or does not sufficiently comply with the recommendations of the Financial Action Task Force on fighting Money Laundering (FATF).
For the purposes of this subparagraph, a state (territory) that does not comply or does not sufficiently comply with the recommendations of the Financial Action Task Force (FATF) shall mean a state (territory) included in the List compiled by the authorized body for financial monitoring in accordance with part two of paragraph 4 Article 4 of the AML Law;
6) legal entities, founders, participants (one of the founders, participants) of which are persons registered (residing) in the territory of one of the foreign states and (or) parts of the territories of foreign states, characterized as offshore zones, specified in subparagraph 4) of this paragraph , as well as legal entities, founders, participants (one of the founders, participants) of which are persons registered (residing) in a state (territory) that does not comply or does not sufficiently comply with the recommendations of the Financial Action Task Force on Money Laundering (FATF).
For the purposes of this subparagraph, a state (territory) that does not comply or does not sufficiently comply with the recommendations of the Financial Action Task Force (FATF) shall mean a state (territory) included in the List compiled by the authorized body for financial monitoring in accordance with part two of paragraph 4 Article 4 of the AML Law;
7) persons who were founders, participants (one of the founders, participants) of an authorized organization, in respect of which the National Bank has not completed the audit initiated due to the voluntary return of a valid license and a valid appendix (valid appendices) to the license, from the date of which three years have not expired.
Footnote. Paragraph 6 - as amended by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 20.12.2021 № 118 (shall be enforced sixty calendar days after the date of its first official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).6-1. The head of an authorized organization (its branch) can not be a person:
1) not having a higher education;
2) included in the list of organizations and persons associated with the financing of terrorism and extremism and (or) financing of proliferation of weapons of mass destruction, in accordance with the Law on AML;
3) who do not have an impeccable business reputation.
Footnote. The Rules are supplemented by paragraph 6-1 in accordance with the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced twenty-one calendar days after the date of its first official publication); as amended by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 20.12.2021 № 118 (shall be enforced sixty calendar days after the date of its first official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).7. The authorized capital of the authorized organization shall be formed in cash in full before the legal entity applies for a license for exchange transactions with foreign currency in cash and (or) attachment to the license.
Footnote. Paragraph 7 - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).8. The minimum amount of the authorized capital of an authorized organization shall be:
1) 100,000,000 (one hundred million) Kazakhstan tenge (hereinafter - tenge) for each exchange office (automated exchange office) with its location in Astana, cities of republican status, administrative centers of oblasts, cities of oblast significance;
2) 50,000,000 (fifty million) tenge for each exchange office (automated exchange office) with a different location.
Footnote. Paragraph 8 - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated 31.12.2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).9. When an authorized organization opens an additional exchange office (automated exchange office), its authorized capital formed in cash shall be subject to increase in accordance with the requirements of clause 8 of the Rules.
10. If the city is classified as of republican, regional scale or recognized as the administrative center of the region, the authorized organization that has an exchange office in this city shall bring the amount of the authorized capital in accordance with the requirement established by subparagraph 1) of paragraph 8 of the Rules, within six months from the date the city is classified as a city of republican, regional scale or recognized as the administrative center of the region.
Footnote. Paragraph 10 - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).11. Requirements for the premises, equipment, personnel of the exchange office (with the exception of an automated exchange office):
1) the organization of security and arrangement of the premises of the exchange office shall be carried out in accordance with the requirements established in the Rules for the organization of security and arrangement of premises of second-tier banks, branches of non-resident banks of the Republic of Kazakhstan, the National postal operator, legal entities whose exclusive activity is the collection of banknotes, coins and valuables, and legal entities operating exclusively through exchange offices based on the license of the National Bank of the Republic of Kazakhstan for exchange operations with cash foreign currency, approved by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated February 24, 2020 № 14, registered in the Register of state registration of regulatory legal acts under № 20075;
2) operating cash desk of the exchange office shall be equipped with a video surveillance system providing recording and storage of information on the process of the exchange office activities for 90 (ninety) calendar days on technical devices ensuring backup copying of the video data archive and protection of the archive from deletion and editing, at the same time, the cash teller’s working area and the client shall be within the video surveillance visibility zone, and the relevant devices shall be installed in places that ensure the absence of interference with video surveillance and the possibility of visual identification of national and foreign currency.
A legal entity that has the right to carry out exchange transactions with foreign currency in cash shall ensure availability and safety of video recordings (video archives) in accordance with the requirements of this subparagraph;
3) the cashier's workplace is equipped with a hardware and software complex or a cash register and software for keeping records of exchange transactions in accordance with the requirements of the Rules, as well as technical means for determining the authenticity of banknotes, providing verification of banknotes in ultraviolet light (control of paper luminescence and other) and checking banknotes for the presence of magnetic marks;
4) compliance of the head of the authorized organization (its branch) with the requirements provided for in paragraph 6-1 of the Rules.
Footnote. Paragraph 11 - as amended by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 20.12.2021 № 118 (shall be enforced sixty calendar days after the date of its first official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).Chapter 3. Procedure for licensing authorized organizations
Footnote. The title of Chapter 3 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
12. To obtain a license and attachment to the license, a legal entity shall file the following documents through the e-government web portal:
1) an electronic application for obtaining a license for exchange transactions with foreign currency in cash and annexes to the license in the form according to Annex 1 to the Rules, electronic copies of documents confirming the applicant's compliance with the qualification requirements provided for in paragraph 13 of the Rules;
2) an electronic copy of the charter;
3) an electronic copy of the document confirming the payment of the license fee for the right to engage in certain types of activities, except for cases of payment through the payment gateway of "electronic government";
4) an electronic copy of a certificate of a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan on the availability of a bank account in foreign currency.
Footnote. Paragraph 12 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).13. To confirm compliance with qualification requirements, a legal entity shall file the following documents through the “electronic government” web portal:
1) an electronic application for a license for exchange transactions with foreign currency in cash and attachment to the license in accordance with the form in Appendix 1 to the Rules (in the case provided for in paragraph 12 of the Rules), an electronic application for an attachment to a valid license for exchange transactions with foreign currency in cash for an additionally opening exchange office in accordance with the form in Appendix 2 to the Rules (in the case provided for in paragraph 17 of the Rules);
2) electronic copies of statements on the movement of money on the bank accounts of a client of a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan, confirming the crediting of money to the bank account of a legal entity as a contribution to the authorized capital in accordance with the requirements of paragraph 8 of the Rules, issued no earlier than 30 ( thirty) calendar days before the date of application for a license and (or) attachment to the license, or an electronic copy of financial statements as of the first day of the month of filing an application for an attachment to a valid license for exchange transactions with foreign currency in cash for an additionally opening exchange office in accordance with the form of Appendix 2 to the Rules, which confirms compliance of the size of the authorized capital of a legal entity with the established requirements, taking into account the additional exchange office (in the case provided for in paragraph 17 of the Rules);
3) an electronic copy of a document disclosing the source of origin of a contribution to the authorized capital of an authorized organization (loan agreement, property purchase and sale agreement, certificate of income, other documents disclosing the source of origin of a contribution to the authorized capital of an authorized organization).
When an authorized organization applies for an attachment to a valid license for an additionally opening exchange office (automated exchange office), the document provided for in subparagraph 3) of part one of this paragraph shall be submitted if the territorial branch of the National Bank does not have information confirming the source of origin of the contribution to the authorized capital of the authorized organization taking into account the additionally opening exchange office.
As confirmation of compliance with the qualification requirements when opening an automated exchange office, the authorized organization shall send through the “electronic government” web portal the electronic document specified in subparagraph 1) of part one of this paragraph, electronic copies of the documents specified in subparagraphs 2) and 3) of part one of this paragraph of this item, as well as an electronic copy of a document confirming the technical characteristics and compliance of the automated exchange office with the requirements established by paragraph 37 of the Rules.
Footnote. Paragraph 13 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).14. The license for exchange transactions with foreign currency in cash and attachment to the license for exchange transactions with foreign currency in cash shall be issued by the territorial branch of the National Bank through the "electronic government" web portal in the Kazakh and Russian languages in accordance with the forms in Appendices 3 and 4 to the Rules.
Footnote. Paragraph 14 as amended by Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).15. The presence of a valid attachment to a valid license shall be the basis for the functioning of an exchange office (automated exchange office) of an authorized organization. To open an additional exchange office, the authorized organization shall obtain an attachment to a valid license, issued in Kazakh and Russian in accordance with the form of Appendix 4 to the Rules.
Footnote. Paragraph 15 as amended by Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).16. The authorized organization shall open exchange office outside the region (region, city of republican significance, capital) of the state registration of the authorized organization with a valid license and a branch of the authorized organization in the relevant region (region, city of republican significance, capital.
In the case of opening an exchange office outside the region (region, city of republican significance, capital) of the state registration place of the authorized organization, to obtain an application for a valid license, the corresponding branch of the authorized organization shall apply to the territorial branch of the National Bank at the location of the exchange office being opened.
17. To obtain an annex to a valid license for an additionally opened exchange office (automated exchange office), the authorized organization (its branch) shall send through the web-portal of the "electronic government" documents, confirming the compliance of the applicant with the qualification requirements, stipulated by clause 13 of the Rules.
17-1. The list of basic requirements for rendering the state service “Issuance of a license for exchange transactions with foreign currency in cash, issued to authorized organizations”, including characteristics of the process, form, content and service rendering result, as well as other information taking into account the state service rendering specifics, is established in Appendix 4- 1 to the Rules.
Information on changes and (or) additions to the Rules, in the part defining the state service rendering procedure shall be posted on the official Internet resource of the National Bank and sent to the operator of the information and communication infrastructure of “electronic government”, as well as to the Unified Contact Center within 3 (three) working days after the day of official publication of the regulatory legal act on amendments and (or) additions to the Rules.
Footnote. The rules were supplemented with paragraph 17-1 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).17-2. An employee of the territorial branch of the National Bank, authorized to receive and register correspondence, on the day of receipt of an application for a license and an attachment to a license or an attachment to a valid license (hereinafter - application) through the "electronic government" web portal shall accept, register and direct it for executive action to the unit responsible for the state services provision (hereinafter -the responsible unit).
If an application is received after working hours, on weekends and holidays, then in accordance with the Labor Code of the Republic of Kazakhstan, applications shall be accepted on the next working day.
When the service recipient files an application through the "electronic government" web portal, the status of acceptance of the request for the state service is automatically displayed in the personal account, indicating the date and time of the result receipt.
Footnote. The rules were supplemented with paragraph 17-2 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).17-3. Within 2 (two) working days from the application registration date, the employee of the responsible department shall check completeness of the submitted documents.
If it is established that the submitted documents are incomplete, within 2 (two) working days from the application registration date, the employee of the responsible department shall prepare and send a motivated refusal to further process the application.
If it is established that the submitted documents are complete, the employee of the responsible unit, within 20 (twenty) working days from the date of registration of the application for a license and attachment to the license, and within 10 (ten) working days from the date of registration of the application for an attachment to a valid license, shall review the documents for their compliance with the requirements of the legislation of the Republic of Kazakhstan, prepare a draft license and attachment to the license, attachment to a valid license or a motivated refusal.
If grounds for refusal to issue a license and (or) attachment to a license are identified, the territorial branch of the National Bank shall notify the service recipient of the preliminary decision to refuse to issue a license and (or) attachment to the license, as well as the time and place of the hearing to provide the service recipient with the opportunity to express position on the preliminary decision.
Notification of the hearing shall be sent no less than 3 (three) business days before the deadline for issuing a license and (or) attachment to the license.
The hearing shall be held no later than 2 (two) working days from the date of notification.
Footnote. The rules were supplemented with paragraph 17-3 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).17-4. The inspection of the premises, equipment intended for the exchange office of the legal entity for compliance with the requirements shall be conducted by the territorial branch of the National Bank within the term provided for the issuance of the license for exchange transactions with foreign currency in cash and (or) an attachment to the license.
Footnote. The rules were supplemented with paragraph 17-4 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).17-5. On the "electronic government" web portal, the result of the state service provision shall be sent to the service recipient’s personal account as an electronic document certified by the electronic digital signature of an authorized person.
Footnote. The rules were supplemented with paragraph 17-5 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).18. Excluded by Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
19. The authorized organization applies to the territorial branch of the National Bank through the “electronic government” web portal for reissuing a valid license in the following cases:
1) reorganization of an authorized organization in the form of a merger, accession;
2) change of the name and (or) place of state registration of the authorized organization;
3) changes in the name of the type of activity of the authorized organization.
The authorized organization (its branch) applies to the territorial branch of the National Bank through the “electronic government” web portal for reissuing a valid application to a valid license in the following cases:
1) re-issuance of a valid license for exchange transactions with foreign currency in cash;
2) changing the address of location of the exchange office without its physical relocation.
Re-issuance of the license and (or) an attachment to the license shall not be carried out in cases specified in subparagraph 2) of part one and subparagraph 2) of part two of this paragraph, if the place of state registration of the authorized organization, location address of the exchange office of the authorized organization changed in connection with the change of the name of settlements, the name of streets in accordance with the requirements of the Law of the Republic of Kazakhstan "On Administrative-Territorial Structure of the Republic of Kazakhstan".
An electronic application for reissuing a license for exchange transactions with foreign currency in cash and (or) an annex to the license for exchange transactions with foreign currency in cash in the form according to Annex 5 to the Rules shall be sent through the e-government web portal within 30 (thirty) calendar days from the date of occurrence of changes that served as the basis for reissuing a valid license and (or) a valid annex to the license.
Footnote. Paragraph 19 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).19-1. To reissue a valid license and (or) a valid attachment to the license, the authorized organization shall file the following documents through the e-government web portal:
1) an electronic application for renewal of the license for exchange transactions with foreign currency in cash and (or) attachment to the license for exchange transactions with foreign currency in cash in accordance with the form of Appendix 5 to the Rules;
2) electronic copies of documents containing information on changes that constitute the ground for reissue of a license and (or) attachment to a valid license, with the exception of documents, information from which is contained in state information systems;
3) an electronic copy of the document confirming the paid license fee for the right to engage in certain types of activities, except for cases of payment through the "electronic government" payment gateway (in case of renewal of a valid license for exchange transactions with foreign currency in cash).
Footnote. The rules were supplemented with paragraph 19-1 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).19-2. When re-issuing a valid license and (or) a valid attachment to a valid license, the employee of the responsible department, within 2 (two) working days from the date of registration of the application for re-issuance of the license and (or) attachment to the license, shall check the completeness of the submitted documents.
If it is established that the submitted documents are incomplete, the employee of the responsible department, within the period specified in part one of this paragraph, shall prepare and send a motivated refusal to further consider the application.
When it is established that the submitted documents are complete, the employee of the responsible department, within 10 (ten) working days from the date of registration of the application for renewal of the license and (or) attachment to the license, shall review the documents for their compliance with the requirements of the legislation of the Republic of Kazakhstan, prepare a draft of the renewed license and (or) attachment to a valid license or a motivated refusal.
If grounds for refusal to reissue a valid license and (or) a valid attachment to a valid license are identified, the territorial branch of the National Bank shall notify the service recipient of a preliminary decision to refuse to reissue a valid license and (or) a valid attachment to a valid license, as well as the time and place of the hearing to provide the service recipient with the opportunity to express a position on the preliminary decision.
Notification of the hearing shall be sent at least three (3) business days prior to the deadline for renewal of a valid license and/or a valid attachment to a valid license. The hearing shall be held no later than 2 (two) working days from the date of notification.
On the “electronic government” web portal, the state service rendering result shall be sent to the service recipient’s personal cabinet in the form of an electronic document certified by the electronic digital signature of an authorized person.
Footnote. The rules were supplemented with paragraph 19-2 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).19-3. Information on the state service progress is updated automatically in the information system of the state services provision monitoring.
Footnote. The rules were supplemented with paragraph 19-3 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).19-4. The grounds for refusal to issue, re-issue the license and (or) attachment to it shall be:
1) non-submission of documents and (or) information provided for in paragraph 4, article 12 of the Law on currency regulation, article 29 of the Law on permits, paragraph 8 of Appendix 4-1 to the Rules, as well as cases provided for in article 32 of the Law on permits;
2) inconsistency of the applicant and (or) the submitted documents and (or) information with the requirements established in paragraphs 3 and 4 of Article 12 of the Law on currency regulation, Article 29 of the Law on permits, paragraph 8 of Appendix 4-1 to the Rules.
Footnote. The rules were supplemented with paragraph 19-4 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).19-5. Appeal against decisions, actions (inactions) of the territorial branch of the National Bank and (or) its officials on the issues of rendering state services shall be made in written (paper and (or) electronic) form. A complaint in electronic form shall be submitted through the e-government web portal.
The complaint shall be submitted by the service recipient to the territorial branch of the National Bank no later than three months from the day when he/she became aware of the decision.
If, for a good reason, the period established by part two of this Paragraph is missed, this period shall be restored by the National Bank at the request of the service recipient.
In order to restore the missed deadline for filing a complaint, the National Bank recognizes illness, force majeure circumstances as good reasons.
The missed deadline for appeal is not a ground for refusal to accept the complaint by the National Bank. The reasons for missing the deadline are clarified when considering the complaint and are one of the grounds for refusing to satisfy the complaint.
The territorial branch of the National Bank, no later than the next working day of receipt of the complaint shall send it for consideration to the subdivision of the National Bank responsible for the quality of rendering state services.
The complaint of a legal entity shall indicate its name, postal address, outgoing number and date of filing the complaint. The appeal shall be signed by the service recipient.
Confirmation of acceptance of a complaint in paper form shall be its registration (stamp, incoming number and date) in the office of the territorial branch of the National Bank, indicating the name and initials of the person who accepted the complaint, the date and place of receipt of a response to the complaint filed. Confirmation of the acceptance of the complaint in electronic form shall be the receipt in the personal account of the user of the web portal of "electronic government" of the notification on registration of the appeal indicating the date of registration and the registration number assigned by the territorial branch of the National Bank.
The complaint of the service recipient regarding the issues of rendering state services, received by the territorial branch of the National Bank shall be considered within 5 (five) working days from the date of its registration.
Footnote. The rules were supplemented with paragraph 19-5 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced from July 1, 2021).19-6. In the event of disagreement with the rendered state service results, the service recipient shall file a complaint with the authorized body for the assessment and control over the state services provision quality.
The service recipient's complaint addressed to the authorized body for the assessment and control over the state services provision quality shall be considered within 15 (fifteen) working days from its registration date.
In case of disagreement with the results of the rendered state service, the service recipient can apply to the court in accordance with the procedure established by the legislation of the Republic of Kazakhstan.
Footnote. The rules were supplemented with paragraph 19-6 in accordance with Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).20. Excluded by Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
21. Excluded by Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
22. The authorized organization, within 10 (ten) working days from the date of the record registration (re-registration) of its branch with the justice bodies shall notify in writing thereof the territorial branch of the National Bank at the place of state registration of the authorized organization with a copy of a certificate of the record registration (re-registration) of the branch of the authorized organization.
23. The authorized organization shall notify in writing the territorial branch of the National Bank of changes in the size of the authorized capital formed in cash and (or) the composition of founders (participants) no later than 10 (ten) working days from the date of registration and (or) notification of the justice authorities with the presentation of copies of the new edition of the charter or amendments and (or) additions made to the charter (notarized in case of failure to provide the originals for verification), as well as a document confirming the notification by the authorized organization of the justice authorities.
In case of increase in the size of the authorized capital, the documents specified in subparagraphs 2) and 3) of paragraph 13 of the Rules shall be submitted.
In case of a change in the share and (or) composition of the founders (participants), the documents specified in subparagraph 3) of paragraph 13 of the Rules shall be submitted.
Information about the founders (participants) of the authorized organization shall be presented in accordance with the form of Appendix 6 to the Rules, if the composition of the founders (participants) and (or) the amount of the authorized capital formed in cash has changed.
Footnote. Paragraph 23 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).23-1. The authorized organization (its branch), no later than 10 (ten) calendar days from the date of commencement of its activities, shall notify in writing the territorial branch of the National Bank of the appointment of a manager, attaching a copy of the relevant order.
In the event of a change of a manager, the authorized organization (its branch), no later than 10 (ten) calendar days from the date of the decision, shall notify the territorial branch of the National Bank in writing, attaching a copy of the relevant order.
Footnote. The rules have been supplemented with paragraph 23-1 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).24. The authorized organization (its branch) shall notify in writing the territorial branch of the National Bank within 10 (ten) business days from the date of making a decision to increase or reduce the number of operating cash desks of the exchange office within the exchange office, attaching a copy of the relevant decision.
Footnote. Paragraph 24 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).25. The valid license and (or) the valid annex to the license shall terminate its validity in cases stipulated by article 35 of the Law on Permissions.
26. In case of voluntary liquidation or refusal to carry out exchange transactions with foreign currency in cash, the authorized organization, within 10 (ten) working days from the date of the decision, shall notify the territorial branch of the National Bank about the decision in writing or through the “electronic government” web portal with a copy of the relevant decision attached.
In the event of voluntary termination of its branch, the authorized organization within 10 (ten) business days from the date of adoption of the relevant decision in writing or through the web portal of "electronic government" shall notify the territorial branch of the National Bank at the place of registration of the branch terminating activities, with a copy of the relevant decision attached.
When the exchange office is closed, the authorized organization (its branch) within 10 (ten) working days from the date of closing the exchange office, in writing or through the “electronic government” web portal shall notify the territorial branch of the National Bank of the decision taken.
Footnote. Paragraph 26 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).27. In case of suspension or deprivation of an authorized organization of a valid license and (or) a valid attachment to the license, a decision on deprivation (suspension) of the license for exchange transactions with foreign currency in cash and (or) attachment to the license for exchange transactions with the foreign currency in cash shall be drawn up in accordance with the form of Appendix 7 to the Rules and approved by the head of the territorial branch of the National Bank.
The territorial branch of the National Bank shall notify the authorized organization of the preliminary decision to suspend or deprive the authorized organization of a valid license and (or) a valid attachment to the license, as well as the time and place of the hearing to provide the authorized organization with the opportunity to express its position on the preliminary decision.
Notice of the hearing shall be sent no less than 3 (three) business days before the date of the decision to suspend or deprive the authorized organization of a valid license and (or) a valid license attachment.
The hearing shall be held no later than 2 (two) working days from the notification date.
A copy of the relevant decision of the territorial branch of the National Bank shall be brought to the notice of the authorized organization on the day of the decision made.
The authorized organization, from the moment of receiving a copy of the relevant decision of the territorial branch of the National Bank and until the end of the term indicated in the decision of the territorial branch of the National Bank, shall suspend:
1) the activities of all exchange offices belonging to it - in case of suspension of a valid license;
2) activity of an exchange office - in case of suspension of a valid attachment to the license.
Footnote. Paragraph 27 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication). Chapter 4. Procedure for notification by an authorized bank of the beginning or
termination of activities of exchange offices
28. An authorized bank (its branch) opens exchange offices (automated exchange offices) only within the region (oblast, city of republican significance, capital) of the location of an authorized bank (its branch), with the exception of a branch of an authorized bank located in the capital or city of republican significance, which opens exchange offices (automated exchange offices) within the region adjacent to the capital or city of republican significance.
Footnote. Paragraph 28 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).29. When opening or closing an exchange office (automated exchange office), an authorized bank (its branch) shall send a notification to the territorial branch of the National Bank about the beginning or termination of activity of an exchange office of an authorized bank in the form in accordance with annex 8 to the Rules.
The territorial branch of the National Bank within 3 (three) working days from the day of notification shall confirm its receipt to the authorized bank by sending written confirmation in the form according to annex 9 to the Rules.
30. Notification of the beginning of the exchange office shall be carried out by the authorized bank no later than the start date of operations by the exchange office and is confirmation of the authorized bank that the opened exchange office meets the requirements of the Rules.
A notification on the termination of the activity of the exchange office shall be sent on the next business day after the last transaction by the exchange office.
31. In case of a change in the previously submitted notification, including when errors were revealed in the notification of the start of the exchange office of information or data required to be filled in the notification, the authorized bank (its branch) within 10 (ten) working days from the day of the changes shall sent to the territorial branch of the National Bank a notice on the beginning or termination of the exchange office of an authorized bank in the form according to annex 8 to the Rules.
32. A notification on the beginning or termination of the activity of the exchange office, as well as on changes in the information specified in the notification on the beginning of the activity of the exchange office, shall be submitted electronically through the web-portal of the "electronic government".
Chapter 5. Requirements for activities on conducting exchange transactions with foreign currency in cash
Footnote. The title of Chapter 5 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
33. A legal entity entitled to carry out exchange transactions with foreign currency in cash, in the process of the activities of the exchange office, shall ensure fulfillment of the requirements for the premises, equipment, and personnel of the exchange office (with the exception of the automated exchange office), established by paragraphs 6-1 and 11 of the Rules.
Footnote. Paragraph 33 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).33-1. To conduct exchange transactions with foreign currency in cash, the authorized organization shall ensure daily availability of cash in tenge or foreign currency on its bank accounts and (or) at the cash desk of the exchange office, as well as fine gold bars (if any) in the amount of at least 100 (one hundred) percent of the minimum authorized capital.
Calculation of the equivalent amount of money in foreign currency held in bank accounts and (or) at the cash desk of the exchange office of the authorized organization, in tenge shall be made at the market exchange rate.
Footnote. Rules supplemented by paragraph 33-1 in accordance with Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).33-2. The working hours of exchange offices (automated exchange offices) shall be determined by the legal entity entitled to conduct exchange transactions with foreign currency in cash, independently within the time frame from 9:00 a.m. to 8:00 p.m., with the exception of exchange offices (automated exchange offices) installed inside the buildings of railway stations, casinos, inside air terminals of international airports, and also on the territory of automobile, sea and river checkpoints across the State border of the Republic of Kazakhstan.
The working hours of exchange offices (automated exchange offices) installed in the buildings of stationary retail facilities of the 1st (first) category shall be determined by the legal entity entitled to conduct exchange transactions with foreign currency in cash, independently within the time frame from 9:00 a.m. to 10:00 p.m.
Footnote. Rules supplemented by paragraph 33-2 in accordance with Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).34. The exchange office shall not carry out exchange operations if, as a result of circumstances (technical failure, breakdown or other reasons), the premises of the exchange office, equipment for the functioning of the exchange office and (or) the exchange office personnel do not meet the requirements of clause 11 of the Rules.
35. In the event of a temporary suspension of an exchange office activity on the initiative of a legal entity entitled to conduct exchange transactions with foreign currency in cash (of its branch) for a period of more than 30 (thirty) calendar days, and also resumption of an exchange office’s activity, the legal entity (its branch) within 5 (five) working days from the date of the decision to suspend or resume the exchange office’s activity, shall notify the territorial branch of the National Bank at the location address of the exchange office in writing, attaching a copy of the said decision.
The period of temporary suspension of an exchange office activity on the initiative of a legal entity entitled to conduct exchange transactions (its branch) cannot exceed 12 (twelve) consecutive months.
Footnote. Paragraph 35 - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).36. It is allowed to equip the premises of the exchange office with several operating cash desks of the exchange office.
37. When making an exchange transaction, an automated exchange office shall ensure the function of verification of authenticity of banknotes in the following ways:
verification of compliance of the visible image on both sides of the national currency of the Republic of Kazakhstan banknote with the official description posted on the official Internet resource of the National Bank;
checking for the presence of ferromagnetic components in the series and numbers printed with special ink;
banknote verification in ultraviolet light (paper luminescence control and other).
38. The combination of conducting exchange transactions and other banking transactions conducted by an authorized bank in accordance with banking legislation, shall be allowed in an exchange office located in the premises of an authorized bank (its branch), if there is a hardware and software complex that allows accounting of exchange operations separately from other banking operations.
39. The following information shall be posted in each exchange office in a place visible to customers:
1) a copy of the license for exchange transactions with foreign currency in cash in the Kazakh and Russian languages, except for cases when obtaining a license is not required in accordance with part two of paragraph 5 of Article 30 of the Law on banks;
2) for authorized organizations - a copy of a valid attachment to a valid license issued by the territorial branch of the National Bank for this exchange office;
3) for authorized banks - a copy of written confirmation of the territorial branch of the National Bank (for exchange offices that received such confirmation), or a copy of the certificate of the exchange office (for exchange offices that received the certificate of the exchange office before the entry into force of the Rules);
4) an information stand for clients (at least 0.4 meters high and 0.4 meters wide), containing information on the purchase rate and (or) sale rate of cash foreign currency for tenge, set for each foreign currency with which purchase and (or) sale transactions are carried out at the exchange office.
It is allowed to place information on the buying rate and (or) selling rate of cash foreign currency for tenge on the monitor of the automated exchange office.
5) information for clients of the exchange office in accordance with the form of Appendix 10 to the Rules, containing information on the territorial branch of the National Bank that exercises control over the activities of the exchange office, and about the possibility of sending a complaint to this territorial branch of the National Bank if there are objections on the work of this exchange office;
6) a copy of the act of the National Bank, which sets deviation limits of the purchase rate from the sale rate of foreign currency for tenge on transactions conducted through exchange offices during the validity term of such an act;
7) information on the cash teller (surname, name, patronymic (if any)) providing customer service (with the exception of an automated exchange office);
8) information on the Internet resource of a legal entity entitled for exchange transactions with foreign currency in cash (if available).
It is allowed to post the information provided for in subparagraph 1), 3) and 6) of this paragraph on the Internet resource of a legal entity that has the right to carry out exchange transactions with cash foreign currency.
Upon an individual’s request, the cash teller of the exchange office shall provide information on the main features of banknotes fit for circulation and unfit for circulation, on the procedure and conditions for accepting non-payable or unfit for circulation foreign currency banknotes for collection (with the exception of an automated exchange office).
Footnote. Paragraph 39 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).40. The following documents shall be stored in the exchange office premises (with the exception of the automated exchange office):
1) a copy of the order of the head of the legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch) on the acceptance and (or) appointment of the relevant person to the position of a teller;
2) excluded by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication);3) a copy of the exchange office teller’s ID;
4) a copy of the internal control rules of the legal entity entitled to conduct exchange transactions with foreign currency in cash, developed and adopted in accordance with the requirements of Article 11 of the AML Law, with a note on the exchange office teller’s familiarization with these rules.
In the premises of the authorized organization’s exchange office (its branch), additionally a document shall be stored with sample signatures of the head and other persons entitled to issue orders on the establishment of purchase, sale and cross-rates, a copy of the registration card of the cash register and a copy of the contract with the authorized bank indicated in paragraph 55 of the Rules.
Footnote. Paragraph 40 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).41. The presence of unauthorized persons is not allowed in the premises of the operating cash desks of exchange offices.
Money that is not related to the activities of a legal entity that has the right to carry out exchange operations with foreign currency in cash, and other items are stored in a specially designated room or cabinets located outside the premises of the operating cash desk of the exchange office.
Footnote. Paragraph 41 - as amended by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 20.12.2021 № 118 (shall be enforced ten calendar days after the date of the first official publication).Chapter 6. Conditions of exchange offices operation
Footnote. The title of Chapter 6 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
42. Transactions for the purchase and (or) sale of cash foreign currency in accordance with the purchase and sale rates established on the basis of the rate-setting order shall be carried out in exchange offices.
The order on the establishment of rates shall contain purchase and sale rates for all types of currencies with which exchange operations are carried out at the exchange office, indicating the date and time (specified in hours and minutes) of the beginning of this order.
In one order on the establishment of exchange rates, it shall be allowed to establish simultaneously different exchange rates depending on the amount of exchange transactions.
43. The order on the establishment of rates shall be issued by the head of the legal entity entitled to carry out exchange transactions with foreign currency in cash (its branch) or by another person who has been granted such powers, with the obligatory indication of the number, date and time (in hours and minutes) of its issuance.
Transfer of the authority of the head of the authorized organization to another person to issue orders for setting rates shall be made solely by the order of the head of the authorized organization.
Footnote. Paragraph 43 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).44. The order on establishing the rates shall be issued in electronic form (hereinafter -electronic order) if a legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch) uses a hardware and software complex, which provides for:
centralized communication to exchange offices of electronic orders on setting the rates;
the ability to identify the person who issued the electronic order;
storage of electronic orders for 5 (five) years.
The order on establishing the exchange rates in paper form shall be issued in one copy if the exchange office is at the location of the legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch). In other cases, one copy of the order on setting rates shall remain with the legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch) and, a copy of the order shall be sent to each exchange office for which such an order was issued.
The said copies of orders shall be stored for 5 (five) years.
Footnote. Paragraph 44 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).45. Change in the purchase and sale rates of the foreign currency in cash shall be made solely on the ground of the issuance of a new order on establishing the rates. In this event, from the commencement of the new order on setting the rates, the previous order shall be canceled.
If the order on establishing the rates is issued for the purpose of changing the purchase and (or) sale rates for certain types of currencies on which exchange transactions are conducted in the exchange office, then the issued order on establishing the rates shall contain information both on the changed purchase and (or) sales rates, and on other purchase and selling rates for the exchange office.
It shall be allowed to establish different rates in different exchange offices of one legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch).
Footnote. Paragraph 45 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).46. Over the entire period of validity of the order on the establishment of rates for all types of currencies with which exchange operations are carried out at the exchange office, the information stand for customers shall display the purchase and (or) sale rates of currencies indicated in this order.
47. The National Bank shall establish the limits of deviation of the purchase rate from the foreign currency sale rate for tenge for operations conducted through exchange offices.
The deviation of the purchase rate from the rate of sale of foreign currency for tenge shall be determined as the difference between the rate of purchase of a unit of foreign currency in national currency and the rate of sale of a unit of foreign currency in national currency established for the exchange office on the basis of a written order of an official of an authorized bank or authorized organization.
For foreign currencies, the exchange quotation of the exchange rate at which is set in tens (hundreds, thousands) of foreign currency units, the deviation of the purchase rate from the selling rate of foreign currency for the national currency shall be determined as the difference between the purchase rates and selling rates of ten (hundreds, thousands) units of foreign currency in national currency, respectively.
48. The limit of deviation of the purchase rate from the rate of sale of foreign currency for tenge for transactions conducted through exchange offices shall be established in the form of the maximum permissible difference expressed in tenge between the rate of sale and the rate of purchase of foreign currency for tenge.
49. Each exchange transaction carried out at the exchange office, including through an automated exchange office, after its completion shall be recorded in the journal of registers of purchased and sold cash foreign currency, which is maintained in electronic form, contains all the details and indicators established in the journal of registers of purchased and sold foreign currency in cash according to the form in accordance with Annex 11 to the Rules (hereinafter- the journal of registers).
The journal of registers shall be kept separately in each operating cash desk of the exchange office and in each automated exchange office in the hardware and software complex. A legal entity that has the right to carry out exchange transactions with foreign currency in cash shall ensure the storage in the hardware and software complex of information on completed exchange transactions, reflected in the journal of registers, for 5 (five) years from the date of their completion.
For authorized organizations, it is allowed to keep a journal of registers in electronic form using software, taking into account the requirements of this paragraph.
Footnote. Paragraph 49 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).50. In case of a change in the purchase rate and (or) sale within the working hours of the exchange office on the basis of the order on the establishment of rates in the journal of registers, an intermediate result for the volumes of purchased and sold cash in foreign currency shall be summarized before the start of operations at the new rate of purchase and (or) sale of foreign cash currencies. After the end of the working day of the exchange office, the results of operations carried out during the working day shall be reflected in the journal of registers.
51. On exchange transactions carried out through exchange offices (including automated exchange offices), for an amount exceeding the equivalent of 500,000 (five hundred thousand) tenge at the exchange transaction rate, the following shall be recorded in the log of registers:
surname, name and patronymic of the client (if any) (first name and patronymic are indicated in full);
individual identification number of the client (if available);
data of the client’s identity document provided for in subparagraphs 1), 2), 3), 4), 9) and 11) of paragraph 1 of Article 6 of the Law of the Republic of Kazakhstan “On Identity Documents” - type of document, date of issue, document number, validity;
legal address of the client (state, locality, street, house number, apartment number (if any).
On exchange transactions carried out through exchange offices (including automated exchange offices), for an amount not exceeding the equivalent of 500,000 (five hundred thousand) tenge at the exchange operation rate, surname, name and patronymic (if any) shall be recorded in the log of registers (name and patronymic shall be indicated in full) and individual identification number of the client (if available).
The client's data, with the exception of the client's legal address, shall be recorded in the register log on the basis of the data of the client's identity document, provided for in subparagraphs 1), 2), 3), 4), 9) and 11) of paragraph 1 of Article 6 of the Law of the Republic of Kazakhstan “On Identity Documents”, or data confirming (identifying) the client’s identity received through the digital document service.
Footnote. Paragraph 51 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).52. The exchange of one foreign currency to another in the jurnal of registers and in the preparation of the reporting forms provided for in the Rules shall be reflected in the form of two transactions:
purchase by an exchange office of one foreign currency for tenge at the rate of purchase of this type of currency by this exchange office;
sale by an exchange office of another foreign currency for tenge at the rate of sale of this type of currency by this exchange office.
53. There are no restrictions on the acceptance of banknotes in circulation at face value and years of issue when conducting exchange operations, and there is also no refusal to individuals to conduct an exchange operation if there is cash foreign and cash national currency in the amount required for conducting an exchange operation, except for the cases provided for in Article 13 of the Law on AML, or failure to provide a document certifying the identity of the client, or data confirming (identifying) the identity of the client, obtained through the digital document service, in accordance with part three of paragraph 51 of the Rules.
If an individual refuses to carry out an exchange operation due to the absence of cash national or cash foreign currency in the exchange office, for which the exchange office has set the purchase and (or) sale rates, at the request of an individual, the cashier of the exchange office issues a certificate in any form indicating the type and amount of currency that is not available in the exchange office, date and time of issue of the certificate. The certificate is signed by the cashier of the exchange office and registered in accordance with the procedure established by the internal rules of the legal entity entitled to carry out exchange operations with foreign currency in cash (its branch).
Footnote. Paragraph 53 - as amended by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 20.12.2021 № 118 (shall be enforced ninety calendar days after the date of the first official publication).54. The exchange office (automated exchange office) shall confirm the conduct of the exchange transaction by issuing a check voucher in accordance with subparagraph 2) of paragraph 5 of Article 166 of the Code of the Republic of Kazakhstan “On taxes and other obligatory payments to the budget” (Tax Code) (hereinafter referred to as the Tax Code).
Footnote. Paragraph 54 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).55. Replenishment of the cash desk of the exchange office of the authorized organization with cash in national and (or) foreign currency shall be carried out through transactions with individuals, on the basis of an agreement with an authorized bank for the purchase of non-cash foreign currency or on the basis of an agreement concluded with an authorized bank with an authorized organization in accordance with sub-clause 11) of clause 1 of article 7 of the Law on currency regulation the agreement for purchase of foreign currency in cash.
56. A legal entity entitled to conduct exchange transactions with foreign currency in cash shall independently decide on conduct of transactions on purchase, sale and exchange of coins of foreign states (group of states).
Footnote. Paragraph 56 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).57. No commission fee shall be charged for the purchase and (or) sale of foreign currency in cash, which is legal means of payment in the issuer's country, as well as for the exchange of foreign currency in cash from earlier years of issue to foreign currency in cash from later years of issue.
58. The main features of legal currency shall include the presence on the banknote of the name of the bank of issue, the number and series, denomination in digits and words, the main design on the front and reverse sides, as well as anti-counterfeiting elements (watermark, magnetic marks, colored fibers embedded in the paper, including UV-visible chads, security threads, microtext, luminescent designs and other anti-counterfeiting elements).
The country that issued the currency may establish other or additional requirements for the issued banknotes.
The legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch) shall independently acquire reference and information materials to determine the authenticity and fitness for the use of the banknotes from persons involved in the replication of this type of product.
Footnote. Paragraph 58 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).59. Foreign currency banknotes that are legal tender in the territory of the corresponding country of the issuer (group of issuer countries), and corresponding to the full description specified in the reference materials of the country of the issuer (group of issuer countries) shall be recognized as valid for circulation as legal tender.
Footnote. Paragraph 59 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).60. Foreign currency banknotes shall be considered unfit for circulation if they do not meet the requirements stipulated by paragraph 59 of the Rules and (or) have the following damages:
1) torn into parts (including glued with adhesive tape);
2) burned or scorched;
3) filled with dyes the size of more than 1 (one) square centimeter;
4) abrasions and soiling, as well as stains that caused the paper glowing in ultraviolet rays with bright blue and (or) violet light, the largest of which in the widest part with a diameter of more than 2 cm or a rim along the edge of the banknote more than 0.5 cm wide;
5) intentional damage:
the main drawings have been changed, in particular, portraits of people, the security thread has been removed;
presence of an extraneous inscription (inscriptions) consisting of 2 (two) or more characters (symbols), including those visible in ultraviolet rays, with the exception of punctuation marks;
presence of more than 2 (two) imprints of stamps and (or) stamps indicating that the foreign currency banknote is not genuine or a sample;
presence of a through hole(s), puncture(s) with a diameter of more than 1 (one) millimeter;
6) lost corners or pieces (more than one (1) square centimeter in size);
7) more than 3 (three) tears (including those sealed (glued) with adhesive tape), with a length exceeding one-fourth of the width (length) of the banknote;
8) those that have changed their geometric dimensions by more than 3 (three) millimeters, both downward and upward;
9) obvious printing defect (absence or improper placement of a watermark or security thread, unprinted or blurred images);
10) loosened and (or) with lost their rigidity.
Foreign currency banknotes withdrawn from circulation after the date announced by the issuing bank of the relevant foreign state shall be considered non-payable.
Footnote. Paragraph 60 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).60-1. If it is impossible to categorize foreign currency banknotes as fit and (or) unfit for circulation in accordance with paragraphs 59 and 60 of the Rules, a legal entity entitled to perform exchange transactions with foreign currency in cash (its branch) shall determine the degree of fitness and (or) unfitness for the circulation of foreign currency banknotes in accordance with the reference recommendations of the issuing countries of central banks.
Footnote. The rules have been supplemented with paragraph 60-1pursuant to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).61. The purchase and replacement of non-payment as well as ineligible for circulation foreign currency banknotes shall be carried out by authorized banks having correspondent relations and (or) contractual relations with foreign banks for collection operations with relevant foreign currencies.
Authorized banks may not sell to customers authorized banks non-payment or unusable foreign currency banknotes purchased and accepted in replacement order. These banknotes shall be sent for collection to issuing banks (foreign banks) or shall be collected for collection through their serving banks.
In case of acceptance for collection of non-payment or ineligible for circulation foreign currency banknotes through their exchange points, authorized banks shall warn customers about the amount of commission fee (including all customer expenses) and the possibility of refusal by the issuing banks (foreign banks) to exchange the said foreign currency banknotes, as well as shall receive written consent from the customer for the conditions of collection. In case of refusal of the issuing bank (foreign bank) in the exchange of the sent foreign currency, the authorized banks shall provide the customer with relevant supporting documents.
The commission fee fee charged for the replacement, purchase, acceptance for collection of non-paying or unusable foreign currency banknotes shall be established by authorized banks independently, but should not exceed 10 (ten) percent of the nominal value of foreign currency banknotes presented for exchange (purchase, acceptance for collection).
Chapter 7. Procedure and terms for filing reports by a legal entity entitled to conduct exchange transactions with foreign currency in cash
Footnote. The title of Chapter 7 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
62. The authorized bank, on a monthly basis, before the 7th (seventh) day (inclusive) of the month following the reporting month, shall submit to the National Bank a form intended for collecting administrative data, “Report on exchange transactions performed through exchange offices”, in accordance with Appendix 12 to Rules.
Footnote. Paragraph 62 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).63. An authorized organization (its branch) monthly, by the 7th (seventh) day (inclusive) of the month following the reporting month, shall submit to the National Bank or territorial branch of the National Bank a form intended for the collection of administrative data, “Report on the movement of foreign currency and exchange operations conducted through exchange offices, "according to annex 13 to the Rules.
64. The authorized bank, authorized organization (its branch) shall submit monthly to the National Bank or a territorial branch of the National Bank, before the 10th (tenth) day (inclusive) of the month following the reporting month, a form intended for administrative data collection, “Report on purchase and (or) sale of foreign currency in cash in an amount equal to or exceeding 50,000 (fifty thousand) United States dollars in equivalent,” according to Appendix 14 to the Rules.
Footnote. Paragraph 64 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).65. In the case of temporary suspension of activities of all available exchange points at the initiative of an authorized organization (its branch) for a period of more than 30 (thirty) calendar days, the submission of reports provided for in clauses 63, 64 and 75 of the Rules shall not be required, provided that there are no transactions carried out within the entire reporting period and sending notifications in accordance with the prcedure prescribed by clause 35 of the Rules.
Chapter 8. Procedure for the purchase and (or) sale of fine gold bars issued by the National Bank
Footnote. The title of Chapter 8 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
66. An authorized organization shall carry out transactions for the purchase and (or) sale of the fine gold bullion bars through its exchange offices in accordance with the procedure stipulated by the Rules.
Replenishment of the cash desk of the exchange office of an authorized organization with refined gold bullion bars shall be carried out through transactions of the purchase of the fine gold in bullion bars from individuals and through the purchase of the fine gold in bullion bars from the National Bank on the basis of the corresponding sales contract.
An authorized organization engaged in the purchase and (or) sale of the fine gold in bullion bars through its exchange offices shall place information on the purchase price and (or) sale of such bullion bars on the information stand.
67. When buying and (or) selling of the fine gold in bullion bars, the authorized organization shall check the integrity of the special packaging and protective elements of the fine gold in bullion bars using a technical tool that provides control of luminescence in ultraviolet light, as well as using an optical device that provides no less than 10 (ten) fold increase.
68. The purchase from individuals of the fine gold in bullion bars and (or) the sale to individuals of the fine gold in bullion bars shall be carried out at the cost established by the authorized organization in the order on the establishment of the value of the fine gold in bullion bars. The order for setting the value of the fine gold in bullion bars shall be issued by the head of the authorized organization or by another person who has been granted such powers, with the obligatory indication of the number, date and time (determined in hours and minutes) of its issuance.
The transfer of powers of the head of the authorized organization to issue orders on the establishment of the cost of the fine gold in bullion bars to another person shall be carried out only on the basis of the order of the head of the authorized organization.
69. Information on the cost of buying and (or) selling of the fine gold in bullion bars, established by the order on setting the value of the fine gold in bullion bars, shall be available on the information stand for customers within the entire period of its validity.
If there is no cash desk of the fine gold in bullion bars exchange office, information on the cost of their sale shall not be posted on the information stand of the authorized organization. If there is no cash in the national currency exchange office at the cash desk, information about the purchase price of the fine gold in bullion bars shall not be posted on the information stand of the authorized organization.
70. There are no restrictions on the acceptance of refined gold in bars by varieties, and there is also no refusal to individuals to conduct transactions for the purchase and (or) sale of such bars if there is a cash national currency in the amount necessary for such an operation and (or) refined gold in bars in the amount necessary to carry out such an operation, except for the cases provided for in article 13 of the AML Law, or failure to provide a client's identity document or data, confirming (identifying) the identity of the client, obtained through the digital document service, in accordance with part five of paragraph 73 of the Rules.
Footnote. Paragraph 70 - as amended by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 20.12.2021 № 118 (shall be enforced ninety calendar days after the date of the first official publication).71. In case of refusal to an individual to buy the fine gold in bullion bars due to the lack of cash in the national currency at the exchange office and if any on the information stand of the authorized organization information on the purchase price of such gold, a cashier at the request of the individual will issue a certificate in any form indicating the variety of such gold, its value in accordance with the decree on establishing the value of the fine gold in bullion bars and the amount in national currency not available in the exchange office, date and time of issue edits. The certificate shall be signed by the cashier of the exchange point of the authorized organization and registered in the manner prescribed by the internal rules of the authorized organization.
72. The exchange office of an authorized organization confirms the purchase and (or) sale of refined gold in bars by issuing a control check in accordance with subparagraph 2) of paragraph 5 of Article 166 of the Tax Code.
Footnote. Paragraph 72 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).73. Each transaction for the purchase and (or) sale of refined gold in bars carried out at an exchange office of an authorized organization shall be recorded in the electronic log of transactions on the purchase and (or) sale of refined gold in bars, issued by the National Bank of the Republic of Kazakhstan, according to the form of Appendix 15 to the Rules (hereinafter referred to as the log of transactions with refined gold bars).
The log of transactions with refined gold bars shall be kept separately in each operating cash desk of the exchange office of the authorized organization in the hardware and software complex. The authorized organization shall ensure the storage in the hardware and software complex of information on completed transactions of the purchase and (or) sale of refined gold in bars, reflected in the log of transactions with refined gold in bars for 5 (five) years from the date of their completion.
On transactions with refined gold in bars in the amount exceeding 500,000 (five hundred thousand) tenge, the following shall be recorded in the log of transactions with refined gold in bars:
surname, name and patronymic of the client (if any) (first name and patronymic are indicated in full);
individual client identification number (if available);
data of the client’s identity document provided for in subparagraphs 1), 2), 3), 4), 9) and 11) of paragraph 1 of Article 6 of the Law of the Republic of Kazakhstan “On Identity Documents” - type of document, date of issue, document number , validity term;
legal address of the client (state, locality, street, house number, apartment number (if available)).
On transactions with refined gold in bars in the amount not exceeding 500,000 (five hundred thousand) tenge, the surname, name and patronymic (if any) (first name and patronymic shall be indicated in full) and individual identification number of the client (if any) shall be recorded in the log of transactions with refined gold in bars.
The client's data, with the exception of the client's legal address, shall be recorded in the log of transactions with refined gold in bars on the basis of the data of the client's identification document provided for in subparagraphs 1), 2), 3), 4), 9) and 11) of paragraph 1 Article 6 of the Law of the Republic of Kazakhstan “On Identity Documents” or data confirming (identifying) the client’s identity received through the digital document service.
Footnote. Paragraph 73 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).74. The change in the value of the fine gold in bullion bars shall be carried out only on the basis of the issuance of a new order establishing the value of such gold. At the same time, from the beginning of the new order on the establishment of the value of the fine gold in bullion bars, the previous order shall be canceled.
In the case of the publication within the working time of the exchange office of the authorized organization of a new order that changes the cost of buying and (or) selling of the fine gold in bullion bars, an intermediate result on the volume of transactions with such gold shall be summarized in the journal of transactions with fine gold in bullion bars before starting operations at a new cost. After the end of the working day of the exchange office of an authorized organization, the journal of transactions with fine gold in bullion bars shall display the results of operations carried out within a working day.
75. An authorized organization (its branch), by the 10th (tenth) day (inclusive) of the month following the reporting month, shall submit to the National Bank or the territorial branch of the National Bank a form designed to collect administrative data, "Report on transactions for purchase and (or) the sale of the fine gold in bullion bars issued by the National Bank of the Republic of Kazakhstan carried out through exchange offices", according to annex 16 to the Rules (hereinafter referred to as the Report on transactions with fine gold in bullion bars).
76. The authorized organization conducts transactions for the purchase and (or) sale of refined gold in bars in integral special packaging.
There is no sale of refined gold in bars with open special packaging and (or) without special packaging, as well as of refined investment gold in certified measured bars, issued by the National Bank before 2017 (hereinafter - refined gold in old-style bars).
Acceptance of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars for the purpose of sending them to the National Bank for redemption shall be carried out by authorized organizations that have contractual relations for their redemption with the National Bank.
Based on the request of an individual, refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars shall be sent to the National Bank for redemption.
When accepting refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars, the authorized organization warns the individual about charging a commission fee for sending such gold to the National Bank for the purpose of its redemption.
An individual shall be issued a written certificate in any form on the acceptance of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars (hereinafter - the written certificate). A written certificate shall be signed by the head of the authorized organization (its branch) or another person who has been granted such authority. The transfer of powers of the head of the authorized organization to sign a written certificate on the acceptance of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars, shall be carried out only on the basis of an order from the head of the authorized organization.
Expertize and calculation of the repurchase price of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars shall be carried out by the National Bank within 45 (forty-five) calendar days from the date of signing the act of acceptance for repurchase of such bars.
The authorized organization independently establishes a commission fee for sending to the National Bank of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars, for the purpose of their redemption, not exceeding 10 (ten) percent of the nominal the cost of refined gold in bullion and (or) refined gold in old-style bars.
Footnote. Paragraph 76 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).76-1. Payment for the value of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars sent to the National Bank for redemption, shall be carried out to an individual by an authorized organization in cash national currency, minus a commission within 5 ( five) working days from the date of receipt from the National Bank of confirmation of readiness to buy them in connection with the positive results of the expertize conducted by the National Bank.
Footnote. The rules are supplemented by paragraph 76-1 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04. 2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).Chapter 9. Transitional provisions
77. A certificate of the exchange office previously issued to an authorized bank shall be considered a written confirmation of the territorial branch of the National Bank received in accordance with the Rules.
From the day the Rules enter into force upon receipt of a notification from an authorized bank on changes in the data specified in a notification on the beginning of an exchange office, the territorial branch of the National Bank shall send a written confirmation to an authorized bank with the number and date of the earlier issued certificate of the exchange office.
| Annex 1 | |
| to the Rules for conducting | |
| exchange transactions with | |
| foreign currency in cash | |
| in the Republic of Kazakhstan |
Form
Application
for the license for exchange transactions with foreign currency in cash and attachment to the license
Footnote. Appendix 1 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).
To ________________________________________________________________
(name of the territorial branch of the National Bank of the Republic of Kazakhstan)
From _______________________________________________________________
(name of the legal entity, business identification number, location)
We request to issue a license for exchange transactions with foreign currency in cash
and attachment to the license for opening of an exchange office (automated
exchange office) (specify as necessary), located at the address:
__________________________________________________________________
(postal code, oblast, city, district, area, street name,
number of the house (building) (stationary premises), also floor, sector, block
and other (if any))
Information on compliance with qualification requirements:
1. Share of participation of founders (participants) in the authorized capital of the authorized organization:
1) individuals:
details of the identity document, (surname, name and patronymic
(if any), date of birth);
individual identification number (for residents);
location;
share in the authorized capital (% (amount)).
2) legal entities:
name of the legal entity;
business identification number (for residents);
location; share in the authorized capital (% (amount)).
2. Information on compliance of founders (participants) of the authorized organization with qualification requirements:
1) | Were the persons previously founders, participants (one of the founders, participants) of an authorized organization in respect of which decision on deprivation of the license for currency exchange transactions in cash was taken, from the date of which three years have not expired? | Yes/No |
2) | Do the persons have an impeccable business reputation? | Yes/No |
3) | Are the persons on the list of organizations and individuals associated with the financing of terrorism and extremism and (or) the financing of proliferation of mass destruction weapons, in accordance with the Law of the Republic of Kazakhstan “On Combating Legalization (Laundering) of Incomes Received by Illegal Means and Financing of Terrorism” (hereinafter - the AML Law)? | Yes/No |
4) | Are the persons registered in one of the following foreign states and (or) parts of the territories of foreign states characterized as offshore zones, specified in subparagraph 4) of paragraph 6 of the Rules for execution of exchange transactions with foreign currency in cash in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019, № 49, registered in the Register of State Registration of Regulatory Legal Acts under № 18545 (hereinafter - the Rules)? | Yes/No |
5) |
Are the persons registered (reside) in a state (territory) that does not implement or insufficiently implements the recommendations of the Financial Action Task Force (FATF)? | Yes/No |
6) |
In legal entities, are founders, participants (one of founders, participant) registered (reside) in one of foreign states and (or) parts of territories of foreign states, characterized as offshore zones, specified in subparagraph 4) of paragraph 6 of the Rules, in legal entities, are founders, participants (one of founders, participant) registered (reside) in a state (territory) that does not implement or insufficiently implements the recommendations of the Financial Action Task Force (FATF)? | Yes/No |
7) | Were the persons previously founders, participants (one of the founders, participants) of an authorized organization in respect of which the inspection initiated by the National Bank of the Republic of Kazakhstan was not completed due to voluntary return of a valid license and valid attachment(s) to the license, from the date of which three years have not expired? | Yes/No |
3. Information on compliance of the head of the legal entity (its branch) with qualification requirements:
1) | Does the head of the authorized organization have higher education? | Yes/No |
2) | Is the person on the list of organizations and persons related to the financing of terrorism and extremism and (or) the financing of proliferation of mass destruction weapons, in accordance with the AML Law? | Yes/No |
3) | Does the person have an impeccable business reputation? | Yes/No |
4. Characteristics of technical means for determining the authenticity of banknotes *:
Model | Serial number |
Checking banknotes under ultraviolet light | Checking banknotes for magnetic marks | ||
Yes | No | Yes | No | ||
Yes | No | Yes | No | ||
5. Technical characteristics of the hardware and software complex *:
Model | Serial number | Non-correctability of daily registration of exchange transactions | Non-volatile storage of information on completed exchange transactions for 5 (five) years from the date of their completion | ||
Yes | No | Yes | No | ||
Yes | No | Yes | No | ||
6. Technical characteristics of the hardware and software complex *:
Name | Manufacturer (Supplier) | Non-correctability of daily registration of exchange transactions | Non-volatile storage of information on completed exchange transactions for 5 (five) years from the date of their completion | ||
Yes | No | Yes | No | ||
7. Technical characteristics of the video surveillance system *:
Name of the video surveillance system | Manufacturer (Supplier) | Ensuring recording and storage of information on the activity process of the Exchange office for 90 (ninety) calendar days on technical devices that provide backup of the video data archive and protect the archive from deletion and editing | Provision of video surveillance in the visibility zone of the cash teller’s and customer’s work area, as well as installation in places that ensure the absence of interference with video surveillance and the possibility of visual identification of national and foreign currency | ||
Yes | No | Yes | No | ||
Attached documents:
1.
2.
E-mail ______________________________________________
Telephones______________________________________________________
Fax __________________________________________________________
Bank account in KZT __________________________________________
(account number, name of the authorized bank)
It is hereby confirmed that:
all the given data are official contacts for sending any information regarding issuance or rejecting issuance of the license and attachment to the license;
the applicant is not prohibited by the court from engaging in licensed activity;
throughout the entire time of activities on exchange transactions with foreign currency in cash, purchase and (or) sale of refined investment gold in certified gold bars, corresponding to the national standard of the Republic of Kazakhstan ST RK 2049 “Measured gold bars. Specifications”, issued by the National Bank of the Republic of Kazakhstan before 2017, and other refined investment gold in measured bars, issued by the National Bank of the Republic of Kazakhstan before 2017, the exchange office (automated exchange office) shall not be located in the premises, that are the location of another exchange office;
all the attached documents are true.
Authorized person of the applicant:
__________ ______________________________________
(position) (surname, name, patronymic (if any)
* shall not be filled out in case of opening of automated exchange office
| Appendix 2 to the Rules for execution of exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
Form
| ____________________________ (name of the territorial branch of the National Bank of the Republic of Kazakhstan) ____________________________ (surname, name, patronymic (if any) of the manager) |
Application
for attachment to a valid license for exchange transactions with foreign currency in cash for additionally opening exchange office
Footnote. Appendix 2 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).
Licensee: __________________________________________________________
(full name of the legal entity, place of state registration,
business identification number)
Licensee branch *: _________________________________________________
(name of the branch, location of the branch, business identification
number)
Number and date of license for exchange transactions with foreign currency in cash:
____________________________________________________________________
We request to issue an attachment to the valid license for exchange transactions
with foreign currency in cash to the exchange office (automated
exchange office) (specify as necessary), located at the address**:
____________________________________________________________________
Information on compliance with qualification requirements:
1. Share of participation of founders (participants) in the authorized capital of the authorized organization:
1) individuals:
data of the identity document, (surname, name and patronymic
(if any), date of birth);
individual identification number (for residents);
place of residence;
share in the authorized capital (% (amount)).
2) legal entities:
name of the legal entity;
location;
business identification number (for residents);
share in the authorized capital (% (amount)).
2. Information on compliance of founders (participants) of the authorized organization with qualification requirements*:
1) | Were the persons previously founders, participants (one of the founders, participants) of an authorized organization in respect of which a decision on deprivation of the license for currency exchange transactions in cash was taken, from the date of which three years have not expired? | Yes/No |
2) | Do the persons have an impeccable business reputation? | Yes/No |
3) | Are the persons on the list of organizations and individuals associated with the financing of terrorism and extremism and (or) financing of mass destruction weapons proliferation, in accordance with the Law of the Republic of Kazakhstan “On Combating Legalization (Laundering) of Incomes Received by Illegal Means and Financing of Terrorism” (hereinafter - the AML Law)? | Yes/No |
4) | Are the persons registered in one of the following foreign states and (or) parts of the territories of foreign states characterized as offshore zones, specified in subparagraph 4) of paragraph 6 of the Rules for execution of exchange transactions with foreign currency in cash in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019, № 49, registered in the Register of State Registration of Regulatory Legal Acts under № 18545 (hereinafter - the Rules)? | Yes/No |
5) |
Are the persons registered (reside) in a state (territory) that does not implement or insufficiently implements the recommendations of the Financial Action Task Force (FATF)? | Yes/No |
6) |
In legal entities, are founders, participants (one of the founders, participant) registered (reside) in one of foreign states and (or) parts of territories of foreign states, characterized as offshore zones, specified in subparagraph 4) of paragraph 6 of the Rules? In legal entities, are founders, participants (one of founders, participant) registered (reside) in a state (territory) that does not implement or insufficiently implements the recommendations of the Financial Action Task Force (FATF)? | Yes/No |
7) | Were the persons previously founders, participants (one of the founders, participants) of an authorized organization in respect of which the inspection initiated by the National Bank of the Republic of Kazakhstan was not completed due to voluntary return of a valid license and valid attachment(s) to the license, from the date of which three years have not expired? | Yes/No |
3. Information on compliance of the head of the legal entity (its branch) with qualification requirements*:
1) | Does the head of the authorized organization have higher education? | Yes/No |
2) | Is the person on the list of organizations and individual related to the financing of terrorism and extremism and (or) the financing of mass destruction weapons proliferation, in accordance with the AML Law? | Yes/No |
3) | Does the person have an impeccable business reputation? | Yes/No |
4. Characteristics of technical means for determining the authenticity of banknotes *:
Model | Serial number |
Checking banknotes under ultraviolet light | Checking banknotes for magnetic marks | ||
Yes | No | Yes | No | ||
Yes | No | Yes | No | ||
5. Technical characteristics of the hardware and software complex***:
Model | Serial number | Non-correctability of daily registration of exchange transactions | Non-volatile storage of information on completed exchange transactions for 5 (five) years from the date of their completion | ||
Yes | No | Yes | No | ||
Yes | No | Yes | No | ||
6. Technical characteristics of the hardware and software complex ***:
Name | Manufacturer (Supplier) | Non-correctability of daily registration of exchange transactions | Non-volatile storage of information on completed exchange transactions for 5 (five) years from the date of their completion | ||
Yes | No | Yes | No | ||
7. Technical characteristics of the video surveillance system ***:
Name of the video surveillance system | Manufacturer (Supplier) |
Ensuring recording and storage of information on the activity process of the Exchange office for 90 (ninety) calendar days on technical devices that provide backup of the video data archive and protect the archive from deletion and editing |
Provision of video surveillance in the visibility zone of the cashier's and customer's work area, as well as installation in places that ensure the absence of interference with video surveillance and the possibility of visual identification of national and foreign currency | ||
Yes | No | Yes | No | ||
Attached documents:
1.
2.
E-mail ______________________________________________
Telephones______________________________________________________
Fax __________________________________________________________
Bank account in KZT __________________________________________
(account number, name of the authorized bank)
It is hereby confirmed that:
all the given data are official contacts for sending any information regarding issuance or rejecting issuance of the license and attachment to the license;
throughout the entire time of activities on exchange transactions with foreign currency in cash, purchase and (or) sale of refined investment gold in certified gold bars, corresponding to the national standard of the Republic of Kazakhstan ST RK 2049 "Measured gold bars. Specifications", issued by the National Bank of the Republic of Kazakhstan not earlier than 2017, and other refined investment gold in measured bars, issued by the National Bank of the Republic of Kazakhstan before 2017, the exchange office (automated exchange office) shall not be located in the premises, that are the location of another exchange office;
all attached documents are true.
Authorized person of the applicant:
__________ ______________________________________
(position) (surname, name, patronymic (if any) (signature)
* Note: indicated when opening an additional exchange office outside the region of the licensee’s location
** Note: the address at which the premises of the exchange office are located, indicating, if the exchange office is located in multifunctional buildings and structures (including business centers), in the buildings of railway stations, casinos, inside air terminals of international airports, data clarifying location of the exchange office (for example, floor, sector, block)
*** not filled out in case of opening of an automated exchange office
| Appendix 3 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
|
| Form |
License for exchange transactions with foreign currency in cash
Footnote. Appendix 3 - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated 31.12.2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
№ ____as of "____" ________________ 20___
Licensee: _______________________________________________________________
(full name, place of state registration, business-
________________________________________________________________________________
identification number of legal entity)
Licensor: __________ branch of the National Bank of the Republic of Kazakhstan
________ branch of the National Bank of the Republic of Kazakhstan entrusts to the authorized organization the functions of an agent for currency control.
This license is issued in a single copy for an indefinite period and cannot be transferred to other persons.
Head
of the territorial branch
of the National Bank
of the Republic of Kazakhstan _________________________________________________ _________
(full name (signature)
| Appendix 4 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
|
| Form |
Attachment № ______ as of "____" _______________ 20___ to the license for
exchange transactions with foreign currency in cash № ______
as of "_____" ______________ 20___
Footnote. Appendix 4 - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated 31.12.2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
Licensee: ________________________________________________________________
(full name of the legal entity, place of state registration,
business- identification number)
Licensee’s branch*: _____________________________________________________________
(name of the branch, location address of the branch, business identification number)
Location of the exchange office: _______________________________________________
________________________________________________________________________________
(region, city, district, street, building, floor, sector, block)
Type of exchange office:
exchange office (automated exchange office)
underline as necessary
Licensor: __________ branch of the National Bank of the Republic of Kazakhstan
This attachment to the license shall be the ground for this exchange office operation.
Work of this exchange office is supervised by ______________ branch of the National Bank of the Republic of Kazakhstan.
Head
of the of the territorial branch
of the National Bank
of the Republic of Kazakhstan ________________________________________________ __________
(full name) (signature)
* Note: to be indicated when opening an additional exchange office outside the region of the licensee's location
| Annex 4-1 | |
| to the Rules for conducting | |
| exchange transactions | |
| with foreign currency in cash | |
| in the Republic of Kazakhstan |
List of basic requirements for rendering of the state service
“Issuance of a license for exchange transactions with foreign currency in cash, issued to authorized organizations”
Footnote. The rules are supplemented by Appendix 4-1 in accordance with resolution № 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).
Name of the state service |
Issuance of license for exchange transactions | |
Name of subtypes of the state service |
1) Obtaining a license for exchange transactions with foreign currency in cash, and attachment to the license; | |
1. | Name of the service provider | Territorial branches of the National Bank of the Republic of Kazakhstan (further – service provider) |
2. | Ways of the state service rendering |
On all subtypes: |
3. | Term of the state service rendering | From the registration date of the application on the portal: when issuing a license and attachment to it - within 20 (twenty) working days; when issuing an attachment to a valid license - within 10 (ten) working days; when re-issuing a license and (or) attachment to it - within 10 (ten) working days. |
4. | Form of the state service rendering |
On all subtypes: |
5. | Result of the state service rendering |
By subtypes: |
6. | Amount of fee charged from the service recipient when rendering the state service and ways of its collection in cases provided for by the legislation of the Republic of Kazakhstan |
The license fee for issuance of a license for the right to engage in certain types of activities shall be paid when rendering the state service: |
7. |
Work schedule of the service provider, the State Corporation and information objects |
1) portal - around the clock, with the exception of technical breaks due to repair work (when the service recipient contacts after working hours, on weekends and holidays, in accordance with the Labor Code of the Republic of Kazakhstan and the Law of the Republic of Kazakhstan “On Holidays in the Republic of Kazakhstan” (hereinafter - Law on Holidays), applications are accepted and the state service rendering results are issued on the next working day). |
8. | List of documents and information required from the service recipient for the rendered state service. |
To obtain the license for exchange transactions with foreign currency in cash and the attachment to the license, the legal entity shall file the following documents through the "e-government" web portal: |
To re-issue a valid license for exchange transactions with foreign currency in cash and (or) a valid attachment to the license, the authorized organization shall file the following documents through the “electronic government” web portal: | ||
9. |
Grounds for rejecting the state service established by the legislation of the Republic of Kazakhstan |
1) 1) failure to provide documents and (or) information referred to in paragraph 4 of Article 12 of the Law of the Republic of Kazakhstan “On Currency Regulation and Currency Control” (further-the Law on Currency Regulation), Article 29 of the Law of the Republic of Kazakhstan “On Permits and Notifications” (further – the Law on permits), paragraph 8 of Appendix 4-1 to the Rules, and also cases provided for in Article 32 of the Law on Permits; |
10. |
Other requirements given the state service specifics, including in electronic form |
The territorial branch of the National Bank of the Republic of Kazakhstan, within 2 (two) working days from the date of receipt of the service recipient’s documents, shall check completeness of the provided documents. |
| Appendix 5 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
|
| Form | |
| ____________________________ (name of the territorial branch of the National Bank of |
|
| the Republic of Kazakhstan | |
| ____________________________ (full name of the manager) |
Application for renewal of a license for exchange operations with foreign currency in cash and (or) attachment to the license for exchange operations with foreign currency in cash
Footnote. Appendix 5 - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated 31.12.2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
Licensee:
______________________________________________________________________________
(full name of the legal entity, place of state registration,
business identification number)
Licensee’s branch*: _____________________________________________________________
(branch name, branch location, business identification number)
I hereby ask to reissue license № ____ as of _________________ and (or)
attachment № _____ as of __________ to license № ________ as of __________
for exchange office, located at the address **:
_________________________________________________________________
_________________________________________________________________
Ground for reissue: ____________________________________
Attached documents:
1.
2.
…………
Authorized person of the applicant:
____________ _____________________________________________________________
(position) (full name)
* Note: to be indicated when applying for reissue of attachment to the license for exchange office outside the region of the licensee's location
** Note: address at which the exchange office is located, indicating, if the exchange office is inside multi-purpose buildings and structures (including business centers), in the buildings of railway stations, casinos, inside the terminals of international airports, the data specifying the exchange office location (e.g. floor, sector, block))
| Appendix 6 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
|
| Form |
Information on founders (participants) of the authorized organization
_______________________________________________________
(name of the authorized organization)
Footnote. Appendix 6 - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated 31.12.2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
1. Individuals:
№ | Full name | Date of birth | Identity document details | Individual identification number (for residents) | Place of residence | Share in the authorized capital | |
in % | amount | ||||||
| |||||||
2. Legal entities:
№ | Name of the legal entity | Organizational -legal form | Business identification number (for residents) | Location | Share in the authorized capital | |
in % | amount | |||||
| ||||||
It is hereby confirmed that the founders (participants) of the authorized organization meet the requirements of paragraph 6
of the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan
Chief executive ______________
(signature)
| Appendix 7 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
|
| Form |
city _____________ | date ____________ |
Decision
on deprivation (suspension) of the validity (indicated depending on the decision taken)
of the license for exchange transactions with foreign currency in cash and (or) attachment
to the license for exchange transactions with foreign currency in cash
Footnote. Appendix 7 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).
1. Detailed description of committed violations with indication of norms of regulatory
legal acts, the requirements of which were breached:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________,
2. In pursuance of subparagraph _____ of paragraph _____ Article 48 of the Law of the
the Republic of Kazakhstan “On Banks and Banking activity in the Republic of Kazakhstan”
_________ the branch of the National Bank the Republic of Kazakhstan RESOLVED to:
3. Deprive (Suspend) for the term* of _________________________ the validity
(indicated depending on the decision taken) of the license for exchange
transactions with foreign currency in cash № ____ as of ______ and (or) attachment
to the license for exchange transactions with foreign currency in cash № ____
as of _________, issued to limited liability Partnership “______”
(further – LLP).
4. Department ______________________________________________________________
(surname, name, patronymic (if any) of the head of the department )
shall send (serve) the copy of this decision to the LLP for execution.
5. LLP _____________ from the date of receipt of this decision shall suspend/terminate
the activity, provided for by the license for exchange transactions with foreign currency
in cash № _________ dated __________ and (or) attachment to the license
for exchange transactions with foreign currency in cash № ____ dated ________.
6. LLP ______________ has the right to appeal the decision of __________ the branch
of the National Bank of the Republic of Kazakhstan in accordance with the procedure stipulated
in Chapter 13 of the Administrative Procedural Code of the Republic of Kazakhstan.
7. I reserve control over the execution of this decision.
The Head
of the territorial branch
of the National Bank
of the Republic of Kazakhstan ________ ________________________________
(signature) (surname, name, patronymic (if any)
Seal
* Note: to be indicated in case of taken decision to suspend the license and (or) attachment to the license and shall be calculated from the date of receipt by the LLP of the copy thereof.
| Appendix 8 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
|
| Form |
___________________________________________________________________
(name of the territorial branch of the National Bank of the Republic of Kazakhstan)
№ ____ |
as of "____" _____________ 20 ___ |
Notification of commencement or termination of activity of the authorized bank’s exchange office
(indicated depending on the decision made)
Footnote. Appendix 8 - as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated 31.122019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
1. _____________ commencement of activity (opening of exchange office)
_______________ termination of activity (closing of exchange office)
_______________ data change
2. Name of the authorized bank (of the territorial branch of the authorized bank
___________________________________________________________
3. Location of the authorized bank (its branch)
_______________________________________________________________________________
4. Business identification number of the authorized bank (its branch)
_______________________________________________________________________________
5. Type of exchange office:
exchange office (automated exchange office) underline as necessary
6. Location of the exchange office (of the automated exchange office)
______________________________________________________________________________
7. Number of operational cash desks in the exchange office of the authorized bank
______________________________________________________________________________
8. Number and date of the certificate of the exchange office of the authorized bank or written confirmation
______________________________________________________________________________
9. By this notification the authorized bank (its branch) hereby confirms that the exchange office located at the address,
___________________________________________________________ meets
the Rules of conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan (hereinafter -the Rules)
Authorized person of the notifier:
____________ ____________________________________________________________
(position (full name)
Guide on completing Appendix 8
When an exchange office (automated exchange office) of an authorized bank is opening, a notification shall be sent on the commencement of the exchange office work with the completion of all items of Appendix 8 to the Rules, with the exception of item 8 of this Appendix.
When the exchange office (automated exchange office) of the authorized bank is closing, a notification shall be sent on the termination of the operation of the exchange office of the authorized bank with completion of all the items of Appendix 8 to the Rules.
When changing the data mandatory for completion specified in the previously submitted notification of the commencement of the exchange office work, a notification of the change in data shall be sent with completion of all the paragraphs of Appendix 8 to the Rules.
In paragraph 6 of Appendix 8 to the Rules the location address of the exchange office shall be indicated, with indication, if the exchange office is stationed in multi-purpose buildings and structures (including business centers), in the buildings of railway stations, casinos, inside the air terminals of international airports, of the data specifying the location of the exchange office (for example, floor, sector, block).
| Appendix 9 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
Form
Written confirmation
Footnote. Annex 9 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).
№ _________ dated "____" _________
_____________ branch of the National Bank of the Republic of Kazakhstan
hereby confirms ________________________________________________________
(name of the authorized bank (branch of the authorized bank)
the receipt of notification on commencement (change of data, termination of activities of the
exchange office) for № _________________ dated _________.
Registration data of the exchange office _________ dated _______.
Address of the exchange office ________________________________________
________________________________________________________________________
The activity of this exchange office is controlled by
_________________________ branch of the National Bank of the Republic of Kazakhstan
(not indicated if the exchange office of the authorized bank is closed).
Head of the territorial branch of the National Bank of the Republic of Kazakhstan
___________________________________________________________ ___________
(surname, name, patronymic (if any) (signature)
Seal
| Appendix 10 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
|
| Form |
Information for customers of the exchange office
Footnote. Appendix 10 as amended by Resolution № 265 of the Board of the National Bank of the Republic of Kazakhstan dated 31.12.2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
__________________________________________________________________________
(name and location of a legal entity, entitled for conducting
exchange transactions with foreign currency in cash, (its branch)
Number and date of the license____________________________________________
Activities of this exchange office shall be supervised by ____________ branch
of the National Bank of the Republic of Kazakhstan.
If there are objections to the work of the exchange office, please send them to:
________________________________________________________________________
(postal address of the territorial branch of the National Bank of the Republic of Kazakhstan)
For examination of the complaint, please kindly provide therein the following information:
full name of the applicant;
individual identification number;
address of the applicant;
address of the exchange office;
name of the legal entity entitled to conduct exchange transactions with foreign currency in cash, (its branch) that opened this exchange office;
substance of the complaint;
date and time of committed breach by the exchange office;
full name of the exchange office teller.
Signature of the applicant shall be required to file the complaint.
| Appendix 11 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
|
| Form |
LOG
of registers of purchased and sold foreign currency in cash
Footnote. Appendix 11 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).
Name of the legal entity, authorized for execution of exchange
transactions, (its branch), business identification number
______________________________________________________________________
______________________________________________________________________
Register of purchased and sold foreign currency in cash "____"_________________20____
№ | Date of transaction | Residency indicator* | Details of the client’s identity document ** | Individual identification number of the client | Legal address of the client | Name of the foreign currency | Currency amount | Time of the transaction(in hours and minutes) ***** | ||||
Purchased | Sold | |||||||||||
in foreign currency | KZT *** | in foreign currency | KZT **** | |||||||||
1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | |
Total: | ||||||||||||
Table continuation:
Transaction rate, according to the order | Number and date of the manager’s order | Date and time of commencement of the order | Data on the certificate of the exchange office of the authorized bank or written confirmation ****** | Cash teller (surname, name and patronymic (if any)) | Balance in the operational cash of the exchange office as of the start of the day ******* | Balance in the operational cash of the exchange office as of the end of the day******* | |||
Number | Date of issue | ||||||||
Currency | Amount | Currency | Amount | ||||||
13 | 14 | 15 | 16 | 17 | 18 | 19 | 20 | 21 | 22 |
Total: ********
Note:
* - indicated in accordance with the document provided by the client during the exchange transaction:
1 – for residents (citizens of the Republic of Kazakhstan, foreigners and stateless persons, permanently residing in the Republic of Kazakhstan on the basis of a permanent residence permit in the Republic of Kazakhstan),
2 – for non- residents;
** - in cases stipulated in part two of paragraph 51 of the Rules for Execution of Exchange Transactions with Foreign Currency in Cash in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan № 49 dated April 4, 2019, registered in the Register of State Registration of Regulatory Legal Acts under № 18545, surname, name and patronymic (if any) of the client shall be filled in.
*** - calculated at the buying rate;
**** - calculated at the selling rate;
***** - time of transaction indicated in the check voucher;
****** - number of the valid attachment to the valid license of the authorized organization (certificate of the authorized bank's exchange office or written confirmation) (upon receipt by the authorized bank of such a certificate or such confirmation);
******* - on all types of currencies and in KZT (not filled in when combining exchange transactions with other banking transactions);
******** - columns 7 through 11 shall be filled in.
| Appendix 12 to the Rules for execution of exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
Form, intended for administrative data collection
Footnote. Appendix 12 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).
Submitted: to the central office of the National Bank
of the Republic of Kazakhstan
The form of administrative data is available on the official Internet resource
www.nationalbank.kz
Report on exchange transactions, performed through exchange offices
Index of administrative data form: 12-NIV_UB
Periodicity: monthly
Reporting term : for ___________ 20 ____
Persons, presenting the report: the authorized bank
Presentation term: monthly, by the 7th (seventh) day (inclusive) of the month following the reporting month
Form
Name of the indicator | Code of the line | All currencies | Including by currency types | ||||||
USD | EUR | RUB | CNY | GBP | Other currencies (indicate foreign currency type) | ||||
А | B | 1 | 2 | 3 | 4 | 5 | 6 | (...) | |
Name of the region | |||||||||
Section 1. Transactions on purchase of cash foreign currency from individuals | |||||||||
Purchased foreign currency in cash, total | 110 | ||||||||
including from non-residents | 111 | ||||||||
Number of transactions on purchase of foreign currency in cash | 210 | ||||||||
including in the amount of: | |||||||||
under one million tenge (inclusive) | 211 | ||||||||
above two million tenge up to ten million tenge | 212 | ||||||||
from ten million tenge (inclusive) and above | 213 | ||||||||
Lowest purchase rate | 311 | X | X | ||||||
Highest purchase rate | 312 | X | X | ||||||
Section 2. Transactions on sale of cash foreign currency to individuals | |||||||||
Sold foreign currency in cash, total | 120 | ||||||||
including to non-residents | 121 | ||||||||
Number of transactions on sale of foreign currency in cash | 220 | ||||||||
including in the amount of: | |||||||||
under one million tenge (inclusive) | 221 | ||||||||
above two million tenge up to ten million tenge | 222 | ||||||||
from ten million tenge (inclusive) and above | 223 | ||||||||
Lowest selling rate | 321 | X | X | ||||||
Highest selling rate | 322 | X | X | ||||||
Name of the authorized bank ______________________________
Address __________________________________________________________
Telephone ________________________________________________________
E-mail address _________________________________________
Performed by____________________________ ________________________
surname, name and patronymic (if any) signature, telephone
Executive or a person assigned with the function of signing the report
___________________________________ ______________
surname, name and patronymic (if any) signature, telephone
Date "____" ______________ 20__
| Appendix to the form of the report on exchange transactions, performed through exchange offices |
Explanatory note on completing the administrative data form
"Report on exchange transactions performed through exchange offices"
(index - 12-NIV_UB, frequency - monthly) Chapter 1: General Provisions
1. This Explanatory Note specifies the requirements for completing the form intended for administrative data collection “Report on exchange transactions performed through exchange offices” (hereinafter - the Form).
2. The from was developed pursuant to subparagraph 9) of Article 56 of the Law of the Republic of Kazakhstan “On the National Bank of the Republic of Kazakhstan”.
3. The form shall be drawn up monthly by an authorized bank on the data for the reporting month of the Registers of purchased and sold cash foreign currency, completed in accordance with Appendix 11 to the Rules for execution of exchange transactions with foreign currency in cash in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 № 49, registered in the Register of State Registration of Regulatory Legal Acts under № 18545.
4. The authorized bank shall compile the Form by oblasts, cities of republican status, the capital, according to the data for the reporting month of the respective branches.
If a branch of an authorized bank has exchange offices located within the region, adjacent to the capital or the city of republican status, the data for the reporting month shall be taken into account in the Form of the corresponding region, at the place of exchange transactions.
5. The form shall be signed by the manager or person assigned the function of signing the report and the executor.
Chapter 2: Explanatory note on completing the Form
6. In Column 1 of the report data shall be provided on all types of foreign currencies, with which the exchange offices of the authorized bank (its branch) carried out exchange transactions in the reporting period. Total figures of the exchange transactions volumes shall be calculated in KZT.
7. In Column 1 data on lines with codes 110, 111, 120 and 121 shall be filled in thousands of tenge, rounded to the nearest whole value (data values less than five hundred tenge are rounded to zero, from five hundred to a thousand tenge - to one).
8. In columns 2, 3, 4, 5 and 6 the data are presented on the United States dollar (USD), euro (EUR), Russian ruble (RUB), Chinese yuan (CNY), British pound sterling (GBP), and in columns with subsequent numbering the data are provided on other types of currencies with which the exchange offices of the authorized bank (its branch) carried out exchange transactions in the reporting period.
9. In columns 2, 3, 4, 5 and 6 and further numbered columns, the data on lines 110, 111, 120 and 121 are presented in the corresponding currency units.
If exchange offices did not perform exchange transactions with any of the currencies indicated in columns 2, 3, 4, 5 and 6 during the reporting period, then the corresponding column is not filled in.
10. Lines 210, 211, 212, 213, 220, 221, 222 and 223 are completed in units of account.
11. In columns 2, 3, 4, 5 and 6 and further numbered columns on lines 311, 312, 321 and 322 the rate of the corresponding foreign currency shall be indicated. On line 311 (321) in the corresponding column, the lowest of the rates of this foreign currency established for exchange offices of the authorized bank (its branch) in the reporting month for purchase (sale) for tenge shall be indicated, on line 312 (322) - the highest of the rates, established for exchange offices of the authorized bank (its branch) in the reporting month for purchase (sale) for tenge.
12. When completing this report in all columns, the following conditions must be met:
line with code 111 ≤ line with code 110;
line with code 121 ≤ line with code 120;
line with code 210 ≥ line with code 211 + line with code 212 + line with code 213;
line with code 220 ≥ line with code 221 + line with code 222 + line with code 223.
13. When compiling the Form, the amount of the exchange transaction in KZT, indicated in columns 8 and 10 of the Register of purchased and sold foreign currency in cash, respectively, shall be used in calculations for the data in KZT.
14. In the absence of data for the reporting period, the Form shall be submitted with zero values.
15. Adjustments (corrections, additions) to the data shall be made within six months after the deadline for submission of the Form.
| Appendix 13 to the Rules for execution of exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
Form, intended for administrative data collection
Footnote. Appendix 13 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).
Submitted: to the central office or territorial branch
of the National Bank of the Republic of Kazakhstan
The form of administrative data is available on the official Internet resource www.nationalbank.kz
Report on foreign currency movement and exchange transactions, performed through exchange offices
Index of administrative data form: 13-NIV_UO
Periodicity: monthly
Reporting period: for ___________ 20 ____
Persons, presenting the report: the authorized organization (its branch)
Presentation term: monthly, by the 7th (seventh) day (inclusive) of the month
following the reporting month
Form
Number and date of the license for exchange transactions with cash foreign currency
____________________________________________________________________
Name of the indicator | Line code | All currencies | Including by currency types | |||||
USD | EUR | RUB | CNY | GBP | Other currencies (indicate foreign currency type) | |||
А | B | 1 | 2 | 3 | 4 | 5 | 6 | (...) |
Section 1. Transactions on purchase of cash foreign currency from individuals | ||||||||
Purchased foreign currency in cash, total | 110 | |||||||
including from non-residents | 111 | |||||||
Number of transactions on purchase of foreign currency in cash | 210 | |||||||
including for the amount of: | ||||||||
under one million tenge (inclusive) | 211 | |||||||
above two million tenge up to ten million tenge | 212 | |||||||
from ten million tenge (inclusive) and above | 213 | |||||||
Lowest purchase rate | 311 | X | X | |||||
Highest purchase rate | 312 | Х | X | |||||
Section 2. Transactions on sale of cash foreign currency to individuals | ||||||||
Sold foreign currency in cash, total | 120 | |||||||
including to non-residents | 121 | |||||||
Number of transactions on sale of foreign currency in cash | 220 | |||||||
including in the amount of: | ||||||||
under one million tenge (inclusive) | 221 | |||||||
above two million tenge up to ten million tenge | 222 | |||||||
from ten million tenge (inclusive) and above | 223 | |||||||
Lowest selling rate | 321 | X | X | |||||
Highest selling rate | 322 | X | X | |||||
Section 3. Report on foreign currency movement | ||||||||
Balance of foreign currency as of the reporting period start (410 = 411 + 412) | 410 | |||||||
including: | ||||||||
cash foreign currency in the till | 411 | |||||||
foreign currency on foreign currency accounts with authorized banks | 412 | |||||||
Foreign currency receipts over reporting period | 420 | |||||||
including: | ||||||||
foreign currency purchased from authorized banks | 421 | |||||||
loans from authorized banks | 422 | |||||||
purchased from individuals through exchange offices | 423 | |||||||
other receipts | 424 | |||||||
Foreign currency expended | 430 | |||||||
of which: | ||||||||
sold foreign currency to the authorized bank | 431 | |||||||
loans from authorized banks repaid | 432 | |||||||
foreign currency cash sold to individuals through exchange offices | 433 | |||||||
other expenses | 434 | |||||||
Balance of foreign currency as at the reporting period end | 440 | |||||||
including: | ||||||||
cash foreign currency in the till | 441 | |||||||
foreign currency on foreign currency accounts with authorized banks | 442 | |||||||
Name of the authorized organization (its branch) ______________________________
Address __________________________________________________________
Telephone ________________________________________________________
E-mail address _________________________________________
Performed by____________________________ ________________________
surname, name and patronymic (if any) signature, telephone
Executive or a person assigned with the function of signing
the report
___________________________________ ______________
surname, name and patronymic (if any) signature, telephone
Date "____" ______________ 20__
| Appendix to the form of the report on foreign currency movement and exchange transactions, performed through exchange offices |
Explanatory note on completing the administrative data form
“Report on foreign currency movement and exchange transactions performed through exchange offices”
(index - 13-NIV_UO) (index - 13-NIV_UO, periodicity - monthly)
Chapter 1. General provisions
1. This explanatory note establishes requirements for competing the form, intended for collection of administrative data “Report on foreign currency movement and exchange transactions performed through exchange offices”, (further – the Form).
2. The form was developed pursuant to subparagraph 9) of Article 56 of the Law of the Republic of Kazakhstan “On the National Bank of the Republic of Kazakhstan”.
3. The form shall be drawn up monthly by an authorized organization (its branch) on the data for the reporting month of the Registers of purchased and sold cash foreign currency, completed in accordance with Appendix 11 to the Rules for execution of exchange transactions with foreign currency in cash in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 № 49, registered in the Register of State Registration of Regulatory Legal Acts under № 18545. The branch of the authorized organization shall draw up an independent Form.
4. The form shall be signed by the manager or person assigned the function of signing the report and the executor.
Chapter 2. Explanatory note on completing the Form on sections 1 and 2
5. When generating the report in calculations for data values in tenge, the equivalent of the exchange transaction amount in tenge shall be used, indicated respectively in columns 8 and 10 of the Register of purchased and sold foreign currency in cash.
6. In column 1 of the report (except for the lines marked with an “X”) data shall be presented on all types of foreign currencies with which exchange offices of the authorized organization (its branch) carried out exchange transactions in the reporting period. Total figures on the exchange transactions volume shall be calculated in KZT.
7. In Column 1, data on lines with codes 110, 111, 120 and 121 are filled in thousands of tenge, rounded to the nearest whole value (data values less than five hundred tenge are rounded to zero, from five hundred to a thousand tenge - to one).
8. In columns 2, 3, 4, 5 and 6 data are presented on the United States dollar (USD), euro (EUR), Russian ruble (RUB), Chinese yuan (CNY), British pound sterling (GBP), and in columns with subsequent numbering data are provided on other types of currencies with which the exchange offices of the authorized bank (its branch) carried out exchange transactions in the reporting period.
9. In columns 2, 3, 4, 5 and 6 and further numbered columns, data on lines 110, 111, 120 and 121 are presented in the corresponding currency units.
If exchange offices did not perform exchange transactions with any of the currencies indicated in columns 2, 3, 4, 5 and 6 during the reporting period, then the corresponding column is not filled in.
10. Lines 210, 211, 212, 213, 220, 221, 222 and 223 are completed in units of account.
11. In columns 2, 3, 4, 5 and 6 and further numbered columns on lines 311, 312, 321 and 322 the rate of the corresponding foreign currency is indicated. On line 311 (321) in the corresponding column, the lowest of the rates of this foreign currency established for exchange offices of the authorized bank (its branch) in the reporting month for purchase (sale) for tenge is indicated, on line 312 (322) - the highest of the rates, established for exchange offices of an authorized bank (its branch) in the reporting month for purchase (sale) for tenge.
12. When completing this report in all columns the following conditions must be met:
line with code 111 ≤ line with code 110;
line with code 121 ≤ line with code 120;
line with code 210 ≥ line with code 211 + line with code 212 + line with code 213;
line with code 220 ≥ line with code 221 + line with code 222 + line with code 223.
13. In section 3 of the report, column 1 is not filled in.
14. In columns 2, 3, 4, 5 and 6 and further numbered columns, line data shall be reported in thousands of units of the respective currency.
15. In columns 2, 3, 4, 5 and 6 and further numbered columns, the data on lines 423 and 433 must be equal to the data in lines 110 and 120, respectively, converted to thousands of units.
16. When filling out section 3 of the report in columns 2, 3, 4, 5 and 6 and further numbered columns in lines 410, 420, 430 and 440, the conditions specified in the names of the relevant indicators shall be met.
17. When compiling the Form, the amount of the exchange transaction in KZT, indicated in columns 8 and 10 of the Register of purchased and sold foreign currency in cash, respectively, shall be used in calculations for the data in KZT
18. In the absence of data for the reporting period, the Form shall be submitted with zero values.
19. Adjustments (corrections, additions) to the data shall be made within six months after the deadline for submission of the Form.
| Appendix 14 to the Rules for execution of exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
Form, intended for administrative data collection
Submitted: to the central office or territorial branch of the National Bank of the Republic of Kazakhstan
The form of administrative data is available on the official Internet resource www.nationalbank.kz
Report on purchase and (or) sale of cash foreign currency in the amount equal to or exceeding 50,000 (fifty thousand) United States dollars equivalent
Footnote. Appendix 14 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 № 72 (effective sixty calendar days after the date of its first official publication).
Index of administrative data form: 14-NIV_VAL
Periodicity: monthly
Reporting period: for ___________ 20 ____
Persons, presenting the report: authorized bank or authorized organization (its branch)
Presentation term: monthly, before the 10th (tenth) day (inclusive) of the month following the reporting month
Form
1. Customer information | 2. Information on currency transaction | |||||||
surname, first name and patronymic (if any | Individual identification number (other data) | Residency indicator * | Date |
Purchase |
Amount in thousands of currency units | Currency code | Name of the oblast, city of republican status, the capital | CATO code |
1.1 | 1.2 | 1.3 | 2.1 | 2.2 | 2.3 | 2.4 | 2.5 | 2.6 |
* – to be indicated in accordance with the document submitted by the client during the exchange transaction:
1 – for residents (citizens of the Republic of Kazakhstan, foreigners and stateless persons permanently residing in the Republic of Kazakhstan on permanent residence permit in the Republic of Kazakhstan),
2 – for non-residents
Name authorized bank or authorized organization
(its branch) _____________________________________________________
Address ___________________________________________________________
Telephone _________________________________________________________
E-mail address __________________________________________
Performed by _________________________________ ____________________
surname, name and patronymic (if any) signature, telephone
Executive or a person assigned with the function of signing
the report __________________________________________ _________________
surname, name and patronymic (if any) signature, telephone
Date "____" ______________ 20__
| Appendix to the form of report on Purchase and (or)(sale) of cash foreign currency in the amount equal to or exceeding 50 000 (fifty thousand) United States dollars equivalent |
Explanatory note on completing the administrative data form
“Report on purchase and (or) sale of cash foreign currency in the amount equal to or exceeding 50,000 (fifty thousand)
United States dollars equivalent” (index – 14-NIV_VAL, periodicity - monthly)
Chapter 1: General Provisions
1. This Explanatory Note specifies the requirements for completing the form intended for administrative data collection “Report on purchase and (or) sale of cash foreign
currency in the amount equal to or exceeding 50,000 (fifty thousand) United States dollars equivalent”, (further – the Form).
2. The form shall be submitted by the authorized bank or the authorized organization (its branch) on a monthly basis and shall include information on purchase or sale
transactions of cash foreign currency in the amount equal to or exceeding USD 50,000 (fifty thousand) in equivalent.
3. The form shall be signed by the head or the person assigned with the function of signing the report and the executor.
Chapter 2: Explanatory note on completing the Form
4. The form shall be sent if there are operations on purchase and (or) sale to one individual during the reporting period of cash foreign currency in the amount equal to or
exceeding 50,000 (fifty thousand) U.S. dollars in equivalent.
5. Information on foreign currency cash purchase or sale transactions shall be reflected in the report as of the transaction date.
6. Part 1 of the Form shall indicate the information on the individual client who performed the transaction of purchase or sale of foreign currency in cash.
7. Column 1.2 shall indicate the individual identification number. If an individual does not have an individual identification number, column 1.2 shall indicate the details of
the identity document.
8. Part 2 of the Form shall indicate information on the transaction for the purchase or sale of foreign currency.
Column 2.2 shall indicate “1” when the client purchases cash foreign currency, “2” – when the client sells cash foreign currency.
Column 2.4 shall indicate the three-digit letter code of the currency in accordance with the national classifier of the Republic of Kazakhstan NC RK 07 ISO 4217 “Codes for
designating currencies and funds.”
Column 2.5 shall indicate the name of the oblast, city of republican status, the capital.
Column 2.6 shall indicate the code according to the Classifier of administrative-territorial objects CATO NK RK 11-2021 (CATO code).
If a branch of an authorized bank has exchange offices located within the region adjacent to the capital or the city of republican status, the data for the reporting month
shall be taken into account in the Form of the corresponding region, at the place of exchange transactions.
9. In the absence of data for the reporting period, the Form shall be submitted with zero values.
10. Adjustments (corrections, additions) to the data shall be made within six months after the deadline for submission of the Form.
| Appendix to the form of report on purchase and (or) sale of foreign currency in cash in the amount equal or above 50 000 (fifty thousand) United States dollars equivalent Form |
Explanation on filling out the administrative data form
"Report on purchase and (or) sale of foreign currency in cash in the amount equal to or above 50,000 (fifty thousand) United States dollars equivalent
1. General provisions
1. This explanation shall determine uniform requirements to filling out the form intended for collection of administrative data "Report on the purchase and (or) sale of foreign currency in cash in the amount equal to or above 50,000 (fifty thousand) United States dollars equivalent", (hereinafter -the Form).
2. The Form shall be submitted monthly by the authorized bank (its branch) or authorized organization (its branch) and shall include information on the transactions of purchase or sale of foreign currency in cash in the amount equal to or above 50,000 (fifty thousand) US dollars in equivalent.
3. The Chief Executive or Chief Accountant and the executor shall sign the Form with the indication of full name
4. In the absence of data for the reporting period, the Form shall be submitted with zero values.
5. Adjustments (corrections, additions) to the data shall be made within six months after the period established for the submission of the Form.
2. Explanation on filling out the Form
6. The Form shall be sent if there are transactions on the purchase and (or) sale of foreign currency in cash in the amount equal to or above 50,000 (fifty thousand) US dollars in equivalent to one individual over the reporting period.
7. Information on transactions on the purchase or sale of foreign currency in cash shall be reflected in the report on the date of the transaction.
8. In part 1 of the Form, information shall be provided about the individual-customer who has performed the transaction on purchase or sale of foreign currency in cash.
9. Column 1.2 shall indicate the individual identification number. In the absence of an individual identification number from an individual, in column 1.2 data of identity document shall be indicated.
10. In part 2 of the Form, information on the transaction on purchase or sale of foreign currency shall be indicated.
Column 2.2 shall indicate “1” when a customer purchases foreign currency in cash, “2” - when a customer sells foreign currency in cash.
Column 2.4 indicates a three-digit letter currency code in accordance with the national classifier of the Republic of Kazakhstan NC RK 07 ISO 4217 "Codes for representing currencies and funds".
Footnote. Paragraph 10 as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).| Appendix 15 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
Form
Registration journal of transactions for the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan
Footnote. Annex 15 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 № 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).
Name of the authorized organization or its branch, business identification number ___________________________
Number of the annex to the license for exchange transactions with foreign currency in cash in the Republic of Kazakhstan of the authorized organization _______________ "____" 20____
Balance of refined gold in bars at the operating cash desk of the exchange office | Number of bullion bars by variety in masses (grams) | ||||||||||
… | … | … | … | … | |||||||
at the beginning of the day | |||||||||||
at the end of the day | |||||||||||
Date and time of commencement of the order on establishing the cost of refined gold in bars | Number and date of the order of the head on establishing the cost of refined gold in bars |
The cost of one bar of refined gold in national currency by varieties in masses (grams) | |||||||||
Purchase (in masses) | Sale (in masses) | ||||||||||
… | … | … | … | … | … | … | … | … | … | ||
Register of transactions for the purchase and (or) sale of refined gold in bars, issued by the National Bank of the Republic of Kazakhstan for "____" _________________20____
№n/n | Sign of residency* | Details of the client's identity document** | Individual identification number of the client | Legal address of the client |
1 | 2 | 3 | 4 | 5 |
table continuation:
Purchased | Sold | Time of transaction (in hours and minutes) ***** | ||||
Gold bar mass (grams) | Cost in tenge*** | Gold bar unique number | Gold bar mass (grams) | Cost in tenge**** | Gold bar unique number | |
6 | 7 | 8 | 9 | 10 | 11 | 12 |
Total: | ||||||
Cashier ___________________________________________________ _______________
(surname, name, patronymic (if any) (signature)
Note:
* - indicated in accordance with the document submitted by the client during the transaction: 1 - for residents (citizens of the Republic of Kazakhstan, foreigners and stateless persons permanently residing in the Republic of Kazakhstan on the basis of a permit for permanent residence in the Republic of Kazakhstan), 2 - for non-residents;
** - in the cases provided for in part four of paragraph 73 of the Rules, surname, name and patronymic (if any) of the client are filled in;
*** - calculated at the purchase price;
**** - calculated at the cost of the sale;
***** - the time of the transaction, indicated in the control check.
| Appendix 16 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan |
Form, intended for administrative data collection
Submitted: to the central office or territorial branch of the National Bank of the Republic of Kazakhstan
The form of administrative data is available on the official Internet resource www.nationalbank.kz
Report
on transactions on purchase and (or) sale of refined gold in bars issued by the National Bank
of the Republic of Kazakhstan performed through exchange offices
Footnote. Appendix 14 - as amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 09/26/2023 № 72 (effective sixty calendar days after the date of its first official publication).
Index of administrative data form: 16-SMSAZ_UO
Periodicity: monthly
Reporting period: for ___________ 20 ____
Persons, presenting the report: authorized organization (its branch)
Presentation term: before the 10th (tenth) day (inclusive) of the month following the reporting month
Form
Number and date of the license for exchange transactions with cash foreign currency
____________________________________________________________________
Name of the indicator | Line code | Total in KZT | Varieties by weight (grams) | ||||
… | … | … | … | … | |||
A | B | 1 | 2 | 3 | 4 | 5 | 6 |
Section 1. Transactions on purchase of refined gold bullion from individuals | |||||||
| 110 | ||||||
including from non-residents | 111 | ||||||
Total quantity of purchased refined gold in bars | 120 | X | |||||
Section 2. Transactions on sale of refined gold in bars to individuals | |||||||
Total cost of sold refined gold in bars | 210 | ||||||
including to non-residents | 211 | ||||||
Total quantity of sold refined gold in bars | 220 | X | |||||
Section 3. Transactions on purchase from the National Bank of the Republic of Kazakhstan and sale to the National Bank of the Republic of Kazakhstan of refined gold in bars | |||||||
Quantity of sold refined gold in bars | 310 | X | |||||
Quantity of purchased refined gold in bars | 320 | X | |||||
Section 4. Results of transactions with refined gold in bars | |||||||
Balance of refined gold in bars at the beginning of the reporting period in the exchange office operational cash | 410 | X | |||||
Balance of refined gold in bars at the end of the reporting period | 420 | X | |||||
Name of the authorized organization (its branch) ______________________________
Address __________________________________________________________
Telephone ________________________________________________________
E-mail address _________________________________________
Performed by____________________________ ________________________
surname, name and patronymic (if any) signature, telephone
Executive or a person assigned with the function of signing
the report
___________________________________ ______________
surname, name and patronymic (if any) signature, telephone
Date "____" ______________ 20__
| Appendix to the form of report on transactions on purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan performed through exchange offices |
Explanatory note on completing the administrative data form
“Report on transactions on purchase and (or) sale of refined gold in bars issued by
the National Bank of the Republic of Kazakhstan performed through exchange offices”
(index – 16-SMSAZ_UO, periodicity - monthly)
Chapter 1: General Provisions
1. This Explanatory Note specifies the requirements for completing the form intended for administrative data collection “Report on transactions on purchase and (or) sale of
refined gold in bars issued by the National Bank of the Republic of Kazakhstan performed through exchange offices, (further – the Form).
2. The form was developed pursuant to subparagraph 9) of Article 56 of the Law of the Republic of Kazakhstan “On the National Bank of the Republic of Kazakhstan
3. The form shall be drawn up monthly by an authorized organization (its branch) on the data for the reporting month of the log of transactions on purchase and (or) sale of
refined gold in bars, issued by the National Bank of the Republic of Kazakhstan in accordance with the form of Appendix 15 to the Rules for execution of exchange
transactions with foreign currency in cash in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan
dated April 4, 2019 № 49, registered in the Register of State Registration of Regulatory Legal Acts under № 18545. The branch of the authorized organization shall
prepare a separate Form.
4. The form shall be signed by the manager or person assigned with the function of signing the report and the executor.
Chapter 2: Explanatory note on completing the Form
5. When compiling the Form, in calculations for data in tenge, the amount of transactions in KZT shall be used, indicated respectively in columns 7 and 10 of the Register of transactions with refined gold in bars.
6. In the absence of data for the reporting period, the Form shall be submitted with zero values.
7. Adjustments (corrections, additions) to the data shall be made within six months after the deadline for submission of the Form.
| Annex to the decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 № 49 |
List of certain decisions of the Managing Board of the National Bank of the
Republic of Kazakhstan, recognized as invalid
1. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 № 144 "On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan" (registered in the Register of State Registration of Regulatory Legal Acts as № 9801, published on November 12, 2014 in "Adilet" Information and Legal System of Regulatory Legal Acts of the Republic of Kazakhstan.
2. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated March 26, 2015 № 46 "On amendments and additions to the Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 № 144 "On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan " (registered in the Register of State Registration of Regulatory Legal Acts as № 10873, published on May 6, 2015 in "Adilet" Information and Legal System).
3. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated December 19, 2015 № 224 "On amendments and additions to certain regulatory legal acts of the Republic of Kazakhstan" (registered in the Register of State Registration of Regulatory Legal Acts as №12970, published on March 1, 2016 in "Adilet" Information and Legal System).
4. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated January 28, 2016 № 55 " On amendments and additions to the Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 № 144 "On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan" (registered in the Register of State Registration of Regulatory Legal Acts as № 13219, published on February 29, 2016 in "Adilet" Information and Legal System).
5. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated November 28, 2016 № 269 "On certain issues of currency regulation and currency control" (registered in the Register of State Registration of Regulatory Legal Acts as № 14564, published on December 28, 2016 in "Adilet" Information and Legal System).
6. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated September 27, 2017 № 188 "On amendments and additions to the Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 № 144 "On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan" (registered in the Register of State Registration of Regulatory Legal Acts as № 16162, published on January 4, 2018 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan).
7. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated August 27, 2018 № 183 " On amendments and additions to the Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 № 144 " On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan" (registered in the Register of State Registration of Regulatory Legal Acts as № 17677, published on November 8, 2018 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan).
