Әділет
Әділет

On approval of the Rules for submitting data and information on transactions subject to financial monitoring by financial monitoring subjects and signs of identifying a suspicious transaction

Invalidated Unofficial translation

Order № 938 of the Minister of Finance of the Republic of Kazakhstan as of September 30, 2020. Registered with the Ministry of Justice of the Republic of Kazakhstan on September 30, 2020 under № 21340. Abolished by the Order of the Chairman of the Financial Monitoring Agency of the Republic of Kazakhstan dated February 22, 2022 No. 13

      Unofficial translation

      Footnote. Abolished by the Order of the Chairman of the Financial Monitoring Agency of the Republic of Kazakhstan dated February 22, 2022 No. 13 (effective ten calendar days after the date of its first official publication).
      This order shall be enforced from November 15, 2020.

      In accordance with paragraph 2 of Article 10 of the Law of the Republic of Kazakhstan “On Counteracting the Legalization (Laundering) of Criminally Obtained Incomes and Financing of Terrorism” as of August 28, 2009, I hereby ORDER:

      1. To approve the appended:

      1) Rules for submitting of data and information on transactions subject to financial monitoring by financial monitoring subjects in accordance with Appendix 1 to this order;

      2) Signs of identifying a suspicious transaction in accordance with Appendix 2 to this order.

      2. In accordance with the procedure established by the legislation of the Republic of Kazakhstan, the Committee for Financial Monitoring of the Ministry of Finance of the Republic of Kazakhstan shall ensure:

      1) state registration of this order with the Ministry of Justice of the Republic of Kazakhstan;

      2) the posting of this order on the website of the Ministry of Finance of the Republic of Kazakhstan;

      3) the submission of information on the implementation of the measures provided for in subparagraphs 1) and 2) of this paragraph to the Legal Service Department of the Ministry of Finance of the Republic of Kazakhstan within ten working days of the state registration of this order.

      3. This order comes into force on November 15, 2020 and is subject to official publication.

      Minister of Finance of
the Republic of Kazakhstan 		Y.Zhamaubayev

      "APPROVED"
Agency of the Republic of Kazakhstan
for the regulation and development
of the financial market

      "APPROVED"
Ministry of Culture and Sport of
the Republic of Kazakhstan

      "APPROVED"
National Bank of
the Republic of Kazakhstan

      "APPROVED"
Ministry of National Economy of
the Republic of Kazakhstan

      "APPROVED"
Ministry of Trade and Integration of
the Republic of Kazakhstan

      "APPROVED"
Ministry of Digital Development,
Innovation and Aerospace Industry of
the Republic of Kazakhstan

  Appendix 1
to Order № 938
of the Minister of Finance
of the Republic of Kazakhstan
as of September 30, 2020

Rules for submitting data and information on transactions subject to financial monitoring by financial monitoring subjects

Chapter 1. General provisions

      1. These Rules for submitting data and information on transactions subject to financial monitoring by financial monitoring subjects (hereinafter referred to as the Rules) have been developed in accordance with paragraph 2 of Article 10 of the Law of the Republic of Kazakhstan “On Counteracting the Legalization (Laundering) of Criminally Obtained Incomes and Financing of Terrorism” as of August 28, 2009 (hereinafter referred to as the Law) and establish a unified procedure for submitting data and information on transactions subject to financial monitoring by financial monitoring subjects to the authorized body for financial monitoring (hereinafter referred to as the authorized body).

      2. With regard to transactions subject to financial monitoring, financial monitoring subjects document and submit data and information on a transaction subject to financial monitoring to the authorized body in accordance with the form of data and information on a transaction subject to financial monitoring in Appendix 1 to these Rules (hereinafter referred to as information).

Chapter 2. Submission of data and information on transactions subject to financial monitoring by financial monitoring subjects

      3. The information submitted by financial monitoring subjects is sent to the authorized body electronically in XML format in the form of the XML Format of information submitted electronically by financial monitoring subjects in accordance with Appendix 2 to these Rules through the telecommunications networks of the republican state enterprise with the right of economic management “Kazakhstan Center for Interbank Settlements of the National Bank of the Republic of Kazakhstan” or the web portal of the authorized body.

      4. If a financial monitoring subject submits information in a manner not provided for in paragraph 3 of these Rules, the authorized body shall return this information without consideration.

      5. In case of a failure to meet the deadlines specified in paragraph 2 of Article 10 and paragraph 2 of Article 13 of the Law because of technical errors in the software or communication channels confirmed by the authorized body, the data and information on transactions subject to financial monitoring are considered to be sent in due time if such information is sent within one working day of recovery of technical errors.

      6. The authorized body does not accept information for processing if financial monitoring subjects submit information that is different from the established form of data and information on a transaction subject to financial monitoring and is not certified with the electronic digital signature of the financial monitoring subject.

      7. Within 4 (four) hours of receipt of information from financial monitoring subjects, the authorized body shall electronically send a notice of acceptance/rejection of information (hereinafter referred to as a notice) in accordance with the form of a notice of acceptance or rejection of the FM-1 form of data and information on a transaction subject to financial monitoring established by Appendix 3 to these Rules.

      8. In case of receipt of a notice of rejection of information, a financial monitoring subject, within 24 (twenty-four) hours (excluding weekends and holidays) takes measures to eliminate the reasons for rejecting information specified in the notice, and sends the corrected information to the authorized body.

      9. If it is necessary to make alter the information previously submitted to and accepted by the authorized body, the financial monitoring subject, within 1 (one) working day of discovery of the information to be replaced, sends the information to the authorized body instead of the previously submitted one.

      10. When filling out the information, reference information is used in accordance with Appendices 4, 5, 6 and 7 to these Rules.

Chapter 3. Submission of information, data and documents upon request

      11. When analyzing information, the authorized body sends to the financial monitoring subject an electronic request for providing necessary information, data and documents in the form of a request for the provision of the necessary information, data and documents in accordance with Appendix 8 to these Rules.

      12. Upon receipt of a request for the provision of the necessary information, data and documents from the authorized body, the financial monitoring subjects send a notification to the authorized body in the form of a notice of acceptance of the request for the provision of the necessary information, data and documents in accordance with Appendix 9 to these Rules.

      13. The requested information, data and documents are sent by financial monitoring subjects to the authorized body electronically by the deadlines set by paragraph 3-1 of Article 10 of the Law in the form of a response to a request for the provision of necessary information, data and documents in accordance with Appendix 10 to these Rules as required by the procedure specified in paragraph 3 of these Rules.

      14. When additional time is required to process the request, the financial monitoring subject shall send to the authorized body an application for extending the deadline specified in part three of paragraph 3-1 of Article 10 of the Law by no more than 10 (ten) working days in accordance with the form of an application for extending the deadline upon request for the provision of the necessary information, data and documents in accordance with Appendix 11 of these Rules through the telecommunication networks of the republican state enterprise with the right of economic management “Kazakhstan Center for Interbank Settlements of the National Bank of the Republic of Kazakhstan” or the web portal of the authorized body.

      15. If it is required to obtain data and information from the operator of the money transfer system in accordance with paragraph 3-2 of Article 10 of the Law in order to process a request related to the analysis of a suspicious transaction, the financial monitoring subject shall send to the authorized body an application for extending the deadline of the request specified in part four of paragraph 3-1 of Article 10 of the Law by no more than 2 (two) working days in accordance with the form of a request for the provision of the necessary information, data and documents in Appendix 8 to these Rules.

  Appendix 1
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects
  Form

The form of data and information on a transaction subject to financial monitoring

Detail №

Name

Content

1

2

3

1

Data on the form of data and information on the transaction
subject to financial monitoring (hereinafter – FM-1form)

1.1

Number of FM-1form *

1. Number:
2. Relation to another FM-1 form (if any):
2.1. Number of related FM-1form:
2.2. Data of related FM-1form:

1.2

Data of FM-1form *


1.3

Type of the document (select as required)*

1. New report
2. Correction of rejected report
(with an indication of the number
of the report to be corrected)
3. Request for replacing the report
(with an indication of the number of the report)

1.4

Transaction stage (select as required)

1. Completed (time of the transaction’s completion)
2. Not completed – rejected
3. Not completed – for making a decision

1.5

Basis for reporting (select as required)*
 

1. Equal to or greater than the threshold amount
2. Suspicious transaction
3. Field is not active
4. Coincidence with the list of organizations and persons associated with the financing of terrorism and extremism:
4.1 Suspension of debit transactions in bank accounts
4.2 Suspension of execution of instructions for payments and transfers without using a bank account
4.3 Blackout period for securities
4.4 Refusal to conduct other transactions
4.5 Refusal to carry out a transaction to make an insurance payment, to return an insurance premium or a part thereof in the event of early termination of the insurance contract and remuneration in the event of the policyholder’s early termination of an agreement on the provision of brokerage services
5. Field is not active
6. Field is not active
7. Field is not active
8. Transactions for mandatory consideration that are recognized as suspicious by financial monitoring subjects with the recording of the results of such consideration
9. Transactions having characteristics consistent with the typologies, schemes and methods of financing terrorism
10. Transactions having characteristics consistent with typologies, schemes and methods of legalization (laundering) of criminal proceeds
11. Coincidence with the list of organizations and persons associated with the financing of the proliferation of weapons of mass destruction:
11.1 Suspension of debit transactions in bank accounts
11.2 Suspension of execution of instructions for payments and transfers without using a bank account
11.3 Blackout period for securities
11.4 Refusal to conduct other transactions
11.5 Refusal to carry out a transaction to make an insurance payment, to return an insurance premium or a part thereof in the event of early termination of the insurance contract and remuneration in the event of the policyholder’s early termination of an agreement on the provision of brokerage services
11.6 Instruction to suspend transactions specified in paragraph 6 of Article 12-1 of the Law of the Republic of Kazakhstan “On Counteracting the Legalization (Laundering) of Criminally Obtained Incomes and Financing of Terrorism” as of August 28, 2009 (hereinafter - the Law)
12. Refusal to establish a business relationship:
12.1 If it is impossible to take the measures provided for in subparagraphs 1), 2), 2-1) and 4) of paragraph 3 of Article 5 of the Law
12.2 If there is a suspicion that the client uses business relationship for the purpose of legalizing (laundering) the proceeds of crime
12.3 If there is a suspicion that the client uses business relationship for terrorist financing purposes
13. Refusal to conduct a transaction:
13.1 If it is impossible to take the measures provided for in subparagraphs 1), 2), 2-1), 4) and 6) of paragraph 3 of Article 5 of the Law
13.2 If there is a suspicion that the client uses business relationship for the purpose of legalizing (laundering) the proceeds of crime
13.3 If there is a suspicion that the client uses business relationship for terrorist financing purposes
14. Termination of business relationship:
14.1 If there is a suspicion that the client uses business relationship for the purpose of legalizing (laundering) the proceeds of crime
14.2 If there is a suspicion that the client uses business relationship for terrorist financing purposes

2. Data on the financial monitoring subject that has sent the FM-1form
 

2.1

Code of the financial monitoring subject *


2.2

Financial monitoring subject *

1.1. Organizational form:
1.2. Name:
1.2.1. Surname:
1.2.2. Name:
1.2.3. Patronymic (if any):

2.3

The detail is not active


2.4

Individual identification number/business identification number (hereinafter -IIN/BIN)*


2.5

Location

1. Area (of cities of republican significance and the capital as well):
2. District:
3. Populated locality (city/township/village), except for cities of republican significance and the capital:
4. Name of the street/avenue/micro-district:
5. House number:
6. Number of the apartment/office (if any):
7. Postal code:

2.6

Identity document (for individuals)*


2.6.1

Number and series of the identity document (for individuals)*

1. Number:
2. Series (if any):

2.6.2

Identity document issued by (for individuals)*


2.6.3

Identity document issued on (for individuals)*


2.7

Executive official

1. Surname:
2. Name:
3. Patronymic (if any):

2.7.1

Position of the executive official


2.8

Contact phone numbers*


2.9

Email


3

Information on the transaction subject to financial monitoring

3.1

Number of the transaction*


3.2

Code of the transaction’s type*

1. Code:
2. Information on property subject to state registration:
2.1. Type of property:
2.2. Registration number of property:

3.3

Payment purpose code *

1. Payment purpose code:
2. cannot be determined

3.4

Number of transactors*


3.5

Code of the transaction currency*


3.6

Transaction amount in the currency it was conducted*


3.7

Transaction amount in tenge*


3.8

Basis for the transaction*


3.9

Date and number of a document that is a basis for the transaction
 

1. Date:
2. Number of the document:

3.10

Code of the sign of a suspicious transaction


3.11

1st additional code of the sign of a suspicious transaction (if any)


3.12

2nd additional code of the sign of a suspicious transaction (if any)


3.13

Description of difficulties encountered in qualifying the transaction as suspicious


3.14

Additional information on the transaction


4

Data on the parties to the transaction subject to financial monitoring

4.1

Transactor (select as required)*

1. Payer under the transaction
2. Recipient under the transaction
3. Representative of the payer
4. Representative of the recipient
5. Person on behalf and instruction of
6. Beneficiary

4.2

Client of the financial monitoring subject (select as required)*

1. Is
2. Is not

4.3

Kind of the transactor*


4.4

Residence*


4.5

Type of the transactor (select as required)*

1. Legal entity
2. Individual
3. Individual entrepreneur

4.6

Foreign public official (select as required)

1. In not
2. Is
3. Affiliated with a foreign public official

4.7

Bank of the transactor*

1.1. Location of the branch:
1.2. Name of the bank:
1.2.1. Name of the Money Transfer system (hereinafter - MTS):
1.3. Code of the bank/branch:
1.4. Transactor’s account number:
1.5. Data on correspondent accounts involved in the transaction:
1.5.1. Location of the bank:
1.5.2. Name of the bank:

4.8

Name of the transactor (for legal entities)*

1. Transactor:
1.1. Organizational form:
1.2. Name:
2. Cannot be identified

4.9

Founders of the transactor (for legal entities)*

1.1. Organizational form:
2.1. Name:
2.1.1. Surname:
2.1.2. Name:
2.1.3. Patronymic (if any):
3. Residence:

4.10

The head (for legal entities)*

1. Surname:
2. Name:
3. Patronymic (if any):

4.11

The detail is not active


4.12

Common Classifier of Economic Activities (hereinafter - CCEA)


4.13

IIN/BIN*


4.14

Surname, name, patronymic (for individuals and individual entrepreneurs)*

1.1. Surname:
1.2. Name:
1.3. Patronymic (if any):
2.1. Cannot be identified

4.15

Identity document*


4.16

Number and series of the identity document *

1. Number:
2. Series (if any):

4.17

Identity document issued by*


4.18

Identity document issued on*


4.19

Date of birth (for individuals and individual entrepreneurs)


4.20

Place of birth (for individuals and individual entrepreneurs)


4.21

Legal address (for legal entities –legal address, for individuals – registration address)

1. Area (of cities of republican significance and the capital as well):
2. District:
3. Populated locality (city/township/village), except for cities of republican significance and the capital:
4. Name of the street/avenue/micro-district:
5. House number:
6. Number of the apartment/office (if any):
7. Postal code:

4.22

Contact phone number


4.23

Email


4.24

Actual address (for legal entities – location address, for individuals – residential address)

1. Area (of cities of republican significance and the capital as well):
2. District:
3. Populated locality (city/township/village), except for cities of republican significance and the capital:
4. Name of the street/avenue/micro-district:
5. House number:
6. Number of the apartment/office (if any):
7. Postal code:

4.25

Additional information on the transactor


      Note:

      * the detail is mandatory.

Explanations of how to fill out the FM-1 form of data and information on a transaction subject to financial monitoring

      The FM-1 form of data and information on the transaction subject to financial monitoring (hereinafter - FM-1) is filled out in Kazakh or Russian.

      The FM-1 form contains information on one transaction, and also on maximum 2 (two) transactors (the transaction’s payer and recipient).

      1. Information on the FM-1 form of data and information on the transaction subject to financial monitoring

      In detail 1.1 "FM-1 form number" it is necessary to indicate the ordinal numerical number of the report about the transaction subject to financial monitoring, information on which is submitted to the state body carrying out financial monitoring and taking other measures to counter the legalization (laundering) of proceeds from crime and financing of terrorism in accordance with the Law (hereinafter referred to as the authorized body). The serial number of the transaction subject to financial monitoring is formed by financial monitoring subjects in ascending order starting from number "1" in numerical format, within 1 (one) calendar year of reporting:

      "1. Number" – indicate the number of the FM-1form.

      "2. Relation to another FM-1 form (if any): " – indicate information in addition to the field "1. Number":

      "2.1. Number of related FM-1 form " and "2.2. Data of related FM-1form " – indicate the number and date of the FM-1 form related to this transaction subject to financial monitoring. The date is indicated in numerical format day (two digits)/month (two digits)/year (four digits).

      In detail 1.2 "Data of FM-1form " – indicate the date of transferring (sending) a report about the transaction with money and (or) other property. The date of the report is indicated in numerical format day (two digits)/month (two digits)/year (four digits).

      Details 1.1 "Number of FM-1form *" and 1.2 "Data of FM-1form *" are unique for each report submitted by a financial monitoring subject to the authorized body and are used to identify the report by the financial monitoring subject of cases of errors and/or sending requests for the provision of information by the authorized body. The number and date of the report are determined when the report about the transaction is first sent to the authorized body.

      Detail 1.3 "Type of the document" has such fields as follows:

      "1. New report" is indicated in the case of sending each new report to the authorized body.

      "2. Correction of rejected report" is indicated in case of receipt from the authorized body of a notice of rejection of the FM-1 form, the financial monitoring subject shall take measures to eliminate the reasons for rejecting the report specified in the notice, address the criticism in the notice, and within twenty-four hours (except for weekends and holidays) of receipt of the notice the form is sent again in a corrected form. In this case, the primary pair of values for the number and date of the report is indicated.

      "3. Request for replacing the report" is indicated in the event that the financial monitoring subject’s proactive alterations to the FM-1 form earlier submitted to and accepted by the authorized body, for example, the report incorrectly indicated the amount of the transaction, currency code, the basis for the transaction, addresses of transactors, etc. In this case, the financial monitoring subject sends to the authorized body a replacing report where all the details are filled out, which has the same number and date of the report like the initial report, and alterations are indicated in detail 3.14.

      Detail 1.4 "Transaction stage" has such fields as follows:

      "1. Completed" is indicated if the transaction is at the stage of completion;

      "2. Not completed – rejected" is indicated if the financial monitoring subject made a decision to refuse to carry out the transaction. In this case, the detail 4.25 indicates the reason for rejecting the transaction;

      "3. Not completed – for making a decision" is indicated if the financial monitoring subject sends to the authorized body a report about recognizing the transaction as suspicious before making it.

      The time is indicated in numerical format: hours (two digits)/minutes (two digits), day (two digits)/month (two digits)/year (four digits).

      Detail 1.5 "Basis for reporting" has such fields as follows:

      "1. Equal to or greater than the threshold amount" is indicated if the transaction amount is equal to or exceeds the threshold value in accordance with paragraph 1 of Article 4 of the Law.

      "2. Suspicious transaction" is indicated in cases where the client’s transaction is recognized as suspicious in accordance with the signs of identifying a suspicious transaction.

      In cases where the code for identifying suspicious transactions is № 8002, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3), for legal entities: 4.8; for individuals: 4.14. When choosing the field "2. Is" in detail 4.2, it is mandatory to fill out the following details: 4.7 (field 1.4), 4.13; for individuals: 4.15, 4.16 (field 1), 4.17, 4.18.

      "3. Field is not active". The serial number of the field does not change due to the lack of technical capabilities of the software.

      "4. Coincidence with the list of organizations and persons associated with the financing of terrorism and extremism" is indicated if the person or organization involved in the transaction is on the list of organizations and persons associated with the financing of terrorism and extremism, where:

      "4.1 Suspension of debit transactions in bank accounts" is indicated in case of suspension of debit transactions in the bank accounts of such an organization or an individual, as well as in the client’s bank accounts, the beneficial owner of which is such an individual. When this field is selected, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals persons: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "4.2 Suspension of execution of instructions for payments and transfers without using a bank account" is indicated in case of suspension of execution of instructions for payment or money transfer without using the bank account of such an individual, as well as instructions of the client, the beneficial owner of which is such an individual. When this field is selected, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 3.6, 3.7, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3), 4.13, for legal persons: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "4.3 Blackout period for securities" is indicated if an organization or an individual is on the list of organizations and persons associated with the financing of terrorism and extremism. In this case, securities (transactions) are blocked in the system of registers of securities holders and the system for recording nominal holding on the personal accounts of such an organization or an individual, as well as on the personal accounts of a client whose beneficial owner is such an individual. When this field is selected, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.13 for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "4.4 Refusal to conduct other transactions" is indicated in case of refusal to conduct other transactions with money and (or) other property performed by an organization or an individual, or in their favor, as well as by a client whose beneficial owner is such an individual, or in his/her favor. If this field is indicated, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "4.5 Refusal to carry out a transaction to make an insurance payment, to return an insurance premium or a part thereof in the event of early termination of the insurance contract and remuneration in the event of the policyholder’s early termination of an agreement on the provision of brokerage services" is indicated in case of refusal to carry out transactions for making insurance payments, for the return of the insurance premium or part thereof in the event of early termination of the insurance contract and remuneration in the event of early termination of the brokerage services contract. If this field is indicated, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "5. Field is not active", "6. Field is not active", "7. Field is not active" – the serial numbers of the fields do not change due to the lack of technical capabilities of the software.

      "8. Transactions for mandatory consideration that are recognized as suspicious by financial monitoring subjects with the recording of the results of such consideration" are indicated if the client’s transactions are recognized as suspicious based on the results of the study in accordance with paragraph 4 of Article 4 of the Law.

      "9. Transactions having characteristics consistent with the typologies, schemes and methods of financing terrorism" are indicated if the client’s transactions have characteristics that correspond to the typologies, schemes and methods of financing terrorism.

      "10. Transactions having characteristics consistent with typologies, schemes and methods of legalization (laundering) of criminal proceeds" are indicated if the client’s transactions have characteristics that correspond to the typologies, schemes and methods of legalization (laundering) of criminal proceeds.

      "11. Coincidence with the list of organizations and persons associated with the financing of the proliferation of weapons of mass destruction" is indicated if the person or organization involved in the transaction is on the list of organizations and persons associated with financing the proliferation of weapons of mass destruction, where:

      "11.1 Suspension of debit transactions in bank accounts" is indicated in case of suspension of debit transactions in the bank accounts of such an organization or an individual, as well as on the client’s bank accounts, the beneficial owner of which is such an individual. When this field is selected, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals persons: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "11.2 Suspension of execution of instructions for payments and transfers without using a bank account" is indicated in case of suspension of execution of instructions for payment or money transfer without using the bank account of such an individual, as well as instructions of the client, the beneficial owner of which is such an individual. When this field is selected, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 3.6, 3.7, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3), 4.13, for legal persons: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "11.3 Blackout period for securities" is indicated if an organization or an individual is on the list of organizations and persons associated with the financing of terrorism and extremism. In this case, securities (transactions) are blocked in the system of registers of securities holders and the system for recording nominal holding on the personal accounts of such an organization or an individual, as well as on the personal accounts of a client whose beneficial owner is such an individual. When this field is selected, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.13 for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "11.4 Refusal to conduct other transactions" is indicated in case of refusal to conduct other transactions with money and (or) other property performed by an organization or an individual, or in their favor, as well as by a client whose beneficial owner is such an individual, or in his/her favor. If this field is indicated, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "11.5 Refusal to carry out a transaction to make an insurance payment, to return an insurance premium or a part thereof in the event of early termination of the insurance contract and remuneration in the event of the policyholder’s early termination of an agreement on the provision of brokerage services" is indicated in case of refusal to carry out transactions making insurance payments, for the return of the insurance premium or part thereof in the event of early termination of the insurance contract and remuneration in the event of early termination of the brokerage services contract. If this field is indicated, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "11.6 Instruction to suspend transactions specified in paragraph 6 of Article 12-1 of the Law" is indicated if at least one of the parties to the transactions is a person included in the list of organizations and persons involved in financing the proliferation of weapons of mass destruction, and transactions are carried out under agreements concluded prior to the inclusion of such persons in the list of organizations and persons associated with the financing of the proliferation of weapons of mass destruction.

      "12. Refusal to establish a business relationship:" is indicated in case of the financial monitoring subject’s refusal to establish a business relationship with an individual or legal entity.

      "12.1 If it is impossible to take the measures provided for in subparagraphs 1), 2), 2-1) and 4) of paragraph 3 of Article 5 of the Law" is indicated in case of the financial monitoring subject’s refusal to establish business relations with an individual or legal entity in case of impossibility of taking measures provided for in subparagraphs 1), 2), 2-1) and 4) of paragraph 3 of Article 5 of the Law. If this field is indicated, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "12.2 В If there is a suspicion that the client uses business relationship for the purpose of legalizing (laundering) the proceeds of crime" is indicated in case of the financial monitoring subject’s refusal to establish business relations of an individual or legal entity with a client in case of suspicion that the business relationship is used by the client for the purpose of legalizing (laundering) proceeds from crime. If this item is indicated, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "12.3 If there is a suspicion that the client uses business relationship for terrorist financing purposes" is indicated in case of the financial monitoring subject’s refusal to establish business relations of an individual or legal entity with a client in case of suspicion that the business relationship is used by the client for the purpose financing of terrorism. If this item is indicated, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "13. Refusal to conduct a transaction:" is indicated in case of refusal to conduct a transaction with money and (or) other property on the grounds provided for in paragraph 1 of Article 13 of the Law.

      "13.1. If it is impossible to take the measures provided for in subparagraphs 1), 2), 2-1), 4) and 6) of paragraph 3 of Article 5 of the Law" is indicated in case of the financial monitoring subject’s refusal to conduct transactions with money and (or) other property by an individual or legal entity in the event that it is impossible to take the measures provided for in subparagraphs 1), 2), 2-1) and 4) of paragraph 3 of Article 5 of the Law. If this item is indicated, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "13.2 If there is a suspicion that the client uses business relationship for the purpose of legalizing (laundering) the proceeds of crime" is indicated in case of the financial monitoring subject’s refusal to conduct transactions with money and (or) other property by an individual or legal entity if there is a suspicion that the business relationship is used by the client for the purpose of legalizing (laundering) proceeds from crime. If this item is indicated, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "13.3. If there is a suspicion that the client uses business relationship for terrorist financing purposes" is indicated in case of the financial monitoring subject’s refusal to conduct a transaction with money and (or) other property by an individual or legal entity in case of suspicion that the business relationship is used by the client for the purpose of terrorist financing. If this item is indicated, the following details are mandatory in sections 3 and 4 of the FM-1 form: 3.4, 4.2, 4.4, 4.5, 4.7 (fields 1.1, 1.2, 1.3, 1.4), 4.13, for legal entities: 4.8, for individuals: 4.14, 4.15, 4.16 (field 1), 4.17, 4.18.

      "14. Termination of business relationship" is indicated in case of the financial monitoring subject’s termination of business relations with an individual or legal entity.

      "14.1 If there is a suspicion that the client uses business relationship for the purpose of legalizing (laundering) the proceeds of crime" is indicated if the financial monitoring subject terminates business relations with the client in case of suspicion that the business relationship is used by the client for the purpose of legalization (laundering) of proceeds from crime.

      "14.2 If there is a suspicion that the client uses business relationship for terrorist financing purposes" is indicated if the financial monitoring subject terminates business relations with the client in case of suspicion that the business relationship is used by the client for terrorist financing purposes.

      2. Data on the financial monitoring subject that has sent the FM-1 form of data and information on the transaction subject to financial monitoring

      Detail 2.1 "Code of the financial monitoring subject " indicates the code of the financial monitoring subject submitting the FM-1 form to the authorized body in accordance with the directory of codes of types of financial monitoring subjects.

      Detail 2.2 "Financial monitoring subject" indicates:

      "1.1. Organizational form:" indicates the organizational legal form of the financial monitoring subject (e.g., JSC (joint stock company), LLP (limited liability partnership), IE (individual entrepreneur) or another organizational legal form). If the financial monitoring subject is an individual, this field is not filled.

      "1.2. Name:" indicates the name of the organization without quotation marks,

      "1.2.1 Surname", "1.2.2. Name", "1.2.3 Patronymic" indicate the surname, name and patronymic (if any) of the financial monitoring subject.

      "Detail 2.3 – not active". The serial number of the detail does not change due to the lack of technical capabilities of the software.

      Detail 2.4 "Individual identification number/business identification number (hereinafter -IIN/BIN)*" indicates the individual identification number or business identification number of the financial monitoring subject sending the FM-1 form.

      Detail 2.5 "Location" indicates the legal address of the financial monitoring subject in the format: area (of cities of republican significance and the capital as well), district, populated locality (city/township/village), except for cities of republican significance and the capital, name of the street/avenue/micro-district, house number, number of the apartment/office (if any), postal code.

      Detail 2.6 "Identity document (for individuals)" indicates the digital code of the type of identity document. The detail is filled in only for individuals.

      Detail 2.6.1 "Number and series of the identity document (for individuals)" indicates the number and series (if any) of the identity document. The detail is filled in only for individuals.

      Detail 2.6.2 "Identity document issued by (for individuals)" indicates the name of the authority that issued the identity document. The detail is filled in only for individuals.

      Detail 2.6.3 "Identity document issued on (for individuals)" indicates the date of issue of an identity document in the format: day (two digits)/month (two digits)/ year (four digits). The detail is filled in only for individuals.

      Detail 2.7 "Executive official" indicates the data of the contact person responsible for compliance with the rules of internal control: surname, name, patronymic (if any).

      Detail 2.7.1 "Position of the executive official" indicates the position of the person responsible for compliance with the rules of internal control.

      Detail 2.8 "Contact phone numbers" indicates mobile phone numbers (in the format +7 XXX XXX XXXX) and landline city number (in the format city code/phone number/extension number (if any)) of the person responsible for compliance with the rules of internal control.

      Detail 2.9 "Email" indicates the e-mail address of the person responsible for compliance with the rules of internal control.

      3. Information on the transaction subject to financial monitoring

      Detail 3.1 "Number of the transaction *" indicates the transaction number, which is registered in the internal register of the financial monitoring subject sending the FM-1 form.

      Detail 3.2 "Code of the transaction’s type*" indicates the digital code of the type of transaction in accordance with the directory of codes of the types of transactions subject to financial monitoring.

      Codes 0530, 0540 are indicated when cash is given out to the client or received from the client, except for the transactions provided for by codes 0511, 0521, 0911, 1311, 1321, 1411, 1421, 1431.

      In cases where codes 0623, 0633 are indicated and the transaction is performed to/from an offshore zone, field "1.5.1 Location of the bank" of detail 4.7 "Bank of the transactor" is filled out in accordance with Resolution № 8 of the Board of the Agency of the Republic of Kazakhstan for the Regulation and Development of the Financial Market as of February 24, 2020 “On approval of the List of offshore zones for the purposes of banking and insurance activities, the activities of professional participants in the securities market and other licensed activities in the securities market, the activities of joint-stock investment funds and the activities of organizations carrying out microfinance activities” (registered in the State Registration Register of Regulatory Legal Acts under № 20095) and Order № 142 of the Minister of Finance of the Republic of Kazakhstan as of February 8, 2018 “On approval of the list of states with preferential taxation” (registered in the State Registration Register of Regulatory Legal Acts under № 16404).

      Code 0640 is indicated in the case of a client’s transaction with money and (or) other property with the category of persons having registration, place of residence or location in the offshore zone, as well as an account with a bank registered in the offshore zone, except for transactions provided for by codes 0623, 0633.

      If code 1811 is indicated, information on property subject to state registration is indicated in the fields "2.1. Type of property", for example, an apartment, land plot or other immovable property, and "2.2. Registration number of property".

      Detail 3.3 "Payment purpose code*" indicates the payment purpose code of the transaction subject to financial monitoring in accordance with Resolution № 203 of the Board of the National Bank of the Republic of Kazakhstan as of August 31, 2016 “On approval of the Rules for using codes of economy sectors and payment purposes” (registered in the State Registration Register of Regulatory Legal Acts under № 14365). The detail is mandatory for filling in if the indicated codes of the type of the financial monitoring subject are 011, 013-016 or 101.

      Field 2 "Cannot be determined" of the detail is indicated if the payment purpose code cannot be determined.

      Detail 3.4 "Number of transactors*" indicates the number of transactors, not including the financial monitoring subject.

      Detail 3.5 "Code of the transaction currency*" indicates the code of the currency of the transaction in accordance with Appendix 23 “Classifier of currencies” approved by Decision № 378 of the Customs Union Commission as of September 20, 2010 “On classifiers used to fill out customs declarations” ( hereinafter – CUC Decision № 378).

      Detail 3.6 "Transaction amount in the currency it was conducted*" indicates the transaction amount in the currency of its performance.

      Detail 3.7 "Transaction amount in tenge*" indicates the transaction amount in tenge at the market exchange rate as of the date of the transaction. When specifying the currency code "Tenge (Kazakh)" in detail 3.5 "Code of the transaction currency", the specified amount of the transaction in detail 3.6 "Transaction amount in the currency it was conducted" is duplicated.

      Detail 3.8 "Basis for the transaction*" indicates the code of the type of transaction, on the basis of which the transaction with money and (or) other property is performed in accordance with the directory of codes of types of transactors and transactions with money and (or) other property.

      Detail 3.9 "Date and number of a document that is a basis for the transaction" indicates the date and number of the document on the basis of which the transaction is carried out. The date of the document is indicated in the format: day (two digits)/month (two digits)/year (four digits).

      Detail 3.10 "Code of the sign of a suspicious transaction" indicates the digital code of the main sign of suspicious transaction in accordance with the signs of identifying a suspicious transaction approved by this Order. The detail is mandatory for filling if detail 1.5 "Basis for reporting" has the filled field "2. Suspicious transaction".

      Detail 3.11 "1st additional code of the sign of a suspicious transaction (if any)" indicates the code of the first additional sign of suspicious transaction in accordance with the signs of identifying a suspicious transaction approved by this Order. The detail is filled in if an additional sign of suspiciousness of a financial transaction is found as a result of the implementation of internal control measures.

      Detail 3.12 "2nd additional code of the sign of a suspicious transaction (if any)" indicates the code of the second additional sign of suspicious transaction in accordance with the signs of identifying a suspicious transaction approved by this Order. The detail is filled in if an additional sign of suspiciousness of the transaction is found as a result of the implementation of internal control measures.

      Detail 3.13 "Description of difficulties encountered in qualifying the transaction as suspicious" indicates a description of difficulties encountered in qualifying a suspicious transaction.

      Detail 3.14 "Additional information on the transaction" indicates additional information on the transaction in respect of which, when implementing internal control measures, suspicions arise about its implementation with the aim of legalizing (laundering) proceeds from crime or financing terrorism, except for information to be filled out in the details of section 3 "Information on the transaction subject to financial monitoring".

      In the case of submission of a replacing report, this detail shall indicate the information of the corrected details, for example, the transaction amount, the purpose of the payment have been changed, etc.

      4. Data on the parties to the transaction subject to financial monitoring

      Depending on the number of parties specified in detail 3.4 "Number of transactors", the same number is indicated in section 4 "Data on the parties to the transaction subject to financial monitoring" for each participant.

      Detail 4.1 "Transactor" indicates the relevant value of the party to the transaction subject to financial monitoring.

      Detail 4.2 "Client of the financial monitoring subject" has such fields as follows:

      "1. Is" is indicated if the transactor is not a client of the financial monitoring subject sending the FM-1 form;

      "2. Is not" is indicated if the transactor is a client of the financial monitoring subject sending the FM-1 form;

      Detail 4.3 "Kind of the transactor" indicates the code of the kind of a transactor in accordance with the directory of codes of types of participants and transactions with money and (or) other property.

      Detail 4.4 "Residence" indicates the residence of the transactor in accordance with Appendix 22 "Classifier of the world countries" approved by Decision № 378. It is mandatory to fill out the detail.

      Detail 4.5 "Type of the transactor" indicates the relevant value of the type of the party to the transaction subject to financial monitoring.

      Detail 4.6 "Foreign public official" indicates the relevant value if field "2. Individual" or "3. Individual entrepreneur" in detail 4.5 "Type of the transactor".

      If the field "2. Is" is indicated in detail 4.6 "Foreign public official", detail 4.6 "Additional information on the transactor" sets out detailed information on the foreign public official.

      If the field "3. Affiliated with a foreign public official" is indicated in detail 4.25 "Additional information on the transactor" sets out detailed information on the affiliated one with the foreign public official.

      The detail is mandatory for filling in in case of indicating field "2. Is" in detail 4.2 "Client of the financial monitoring subject".

      Detail 4.7 "Bank of the transactor" indicates the following information on the bank of the transaction:

      "1.1. Location of the branch" is indicated if the branch is in the territory of the Republic of Kazakhstan, it is necessary to indicate the address (area (of cities of republican significance and the capital as well), district, populated locality (city/township/village), name of the street/avenue/micro-district, house number), number of the apartment/office) where the transaction is initiated/completed. If the bank is located outside the Republic of Kazakhstan, it is necessary to indicate the country in accordance with Appendix 22 "Classifier of the world countries" approved by CUC Decision № 378.

      "1.2. Name of the bank" indicates the full name of the bank;

      "1.2.1. Name of MTS" indicates the name of the money transfer system (hereinafter referred to as MTS) in case of making a transaction through MTS, and the field "1.4. Transactor’s account number" of detail 4.7 "Bank of the transactor" indicates the control number of the transfer (MTCN or other).

      "1.3. Code of the bank/branch" indicates, for example, BIC for residents and SWIFT BIC (or non-SWIFT BIC) for non-residents or other. If a transaction is carried out by a bank branch, it is mandatory to indicate the branch code assigned by the National Bank of the Republic of Kazakhstan in accordance with Resolution № 236 of the Board of the National Bank of the Republic of Kazakhstan as of August 24, 2012 “On Approval of the Instruction on the assignment, use and cancellation of bank identification codes by the National Bank of the Republic of Kazakhstan, as well as the assignment and cancellation of codes of banks and organizations carrying out certain types of banking operations, and codes of branches of banks and organizations carrying out certain types of banking operations, their structure, the formation and maintenance of the Directory of banks and organizations carrying out certain types of banking operations” ( registered in the State Registration Register of Regulatory Legal Acts under № 7960).

      "1.4. Transactor’s account number" indicates the transactor’s account number, for example, IBAN or another.

      "1.5. Data on correspondent accounts involved in the transaction" has the following values:

      "1.5.1. Location of the bank" indicates the country of location of the correspondent bank in accordance with Appendix 22 "Classifier of the world countries" approved by the CUC Decision № 378;

      "1.5.2. Name of the bank" indicates the full name of the correspondent bank.

      If there is no account number in the field "1.4. Transactor’s account number", it is necessary to indicate "without account number".

      It is mandatory to fill out the detail if the codes of the types of the financial monitoring subject are 011, 013-016 or 101 in detail 2.1 " Code of the financial monitoring subject".

      Detail 4.8 "Name of the transactor (for legal entities)" is indicated if the field "1. Legal entity" of detail 4.5 "Type of the transactor" and has the following values:

      "1. Transactor":

      field "1.1. Organizational form" indicates the organizational legal form of the transactor (for example, JSC (joint stock company), LLP (limited liability partnership), IE (individual entrepreneur) or other organizational legal form);

      field "1.2. Name:" indicates the name of the transactor in accordance with the constituent documents without quotation marks.

      "2. Cannot be identified" is indicated if the name of the transactor cannot be established.

      It is mandatory to fill out the detail if the field "1. Legal entity" of detail 4.5 "Type of the transactor" is filled in.

      Detail 4.9 "Founders of the transactor (for legal entity)" is indicated if the field "1. Legal entity" in detail 4.5 "Type of the transactor" has data on all founders of the transactors with a participatory interest of at least 10 percent:

      "1.1. Organizational form:" indicates the organizational legal form of the transactor (for example, JSC (joint stock company), LLP (limited liability partnership), IE (individual entrepreneur) or other organizational legal form). If the transactor’s founder is an individual, this field is not filled.

      "2.1. Name:" indicates the name of the transactor’s founder in accordance with the constituent documents without quotation marks if the founder of the transactor is a legal entity. If the transactor’s founder is an individual or an individual entrepreneur, it is necessary to indicate the surname, name, patronymic (if any).

      "3. Residence:" indicates the country of the transactor’s founder in accordance with Appendix 22 "Classifier of the world countries" approved by CUC Decision № 378.

      It is mandatory to fill in this detail in case of simultaneous indication of the field "2. Suspicious transaction" of detail 1.5 "Basis for reporting" and the field "2. Is" of detail 4.2 "Client of the financial monitoring subject" is indicated.

      Detail 4.10 "The head (for legal entity)" indicates the data of the first executive officer of the transactor if the field "1. Legal entity" of detail 4.5 "Type of the transactor" is filled in, namely the surname, name, patronymic (if any).

      It is mandatory to fill in the detail in case of indicating the field "2. Is" of detail 4.2 "Client of the financial monitoring subject" is indicated.

      Detail 4.11 "The detail is not active". The serial number of the detail does not change due to the lack of technical capabilities of the software.

      Detail 4.12 "Common Classifier of Economic Activities (hereinafter - CCEA) " indicates the CCEA code of the transactor in accordance with Order № 68-od of the acting chairman of the Committee for Technical Regulation and Metrology of the Ministry of Industry and Infrastructure Development of the Republic of Kazakhstan as of February 22, 2019 “On some issues of standardization” in the case of filling in the field "1. Legal entity" of detail 4.5 "Type of the transactor". It is mandatory to fill in the detail if the field "2. Is" of detail 4.2 "Client of the financial monitoring subject" is indicated.

      Detail 4.13 "IIN/BIN" indicates the individual identification number or business identification number of the transactor or the number of registration of a non-resident legal entity in a foreign state. The detail is mandatory if transactors are residents of the Republic of Kazakhstan.

      Detail 4.14 "Surname, name, patronymic (for individuals and individual entrepreneurs)*" indicates the data of an individual or an individual entrepreneur of the transactor, namely the surname, name, patronymic (if any). It is mandatory to fill in the detail if the fields "2. Individual" or "3. Individual entrepreneur" of detail 4.5 "Type of the transactor".

      The field "2.1. Cannot be identified" of detail 4.14 "Surname, name, patronymic (for individuals and individual entrepreneurs)" is indicated if the transactor’s identity cannot be established.

      Detail 4.15 "Identity document" indicates the digital code of the type of identity document in accordance with the directory of codes of types of documents if the field "2. Individual" or "3. Individual entrepreneur" of detail 4.5 "Type of the transactor" is indicated. It is mandatory to fill in the detail if the field "2. Is" of detail 4.2 "Client of the financial monitoring subject" is indicated.

      Detail 4.16 "Number and series of the identity document" indicates the series and number of the identity document of the transactor if the field "2. Individual" or "3. Individual entrepreneur" of detail 4.5 "Type of the transactor" is filled in. It is mandatory to fill in the detail if the field "2. Is" of detail 4.2 "Client of the financial monitoring subject" is indicated.

      Detail 4.17 "Identity document issued by" indicates the name of the authority that issued the identity document of the transactor if the field "2. Individual" or "3. Individual entrepreneur" of detail 4.5 "Type of the transactor" is filled in. It is mandatory to fill in the detail if the field "2. Is" of detail 4.2 "Client of the financial monitoring subject" is indicated.

      Detail 4.18 "Identity document issued on" indicates the date of issue of the identity document of the transactor in the format: day (two digits)/month (two digits)/year (four digits) if the field "2. Individual" or "3. Individual entrepreneur" of detail 4.5 "Type of the transactor" is filled in. It is mandatory to fill in the detail if the field "2. Is" of detail 4.2 "Client of the financial monitoring subject" is indicated.

      Detail 4.19 "Date of birth" indicates the date of birth of the transactor in the format: day (two digits)/month (two digits)/year (four digits) if the field "2. Individual" or "3. Individual entrepreneur" of detail 4.5 "Type of the transactor" is filled in. It is mandatory to fill in the detail if the field "2. Is" of detail 4.2 "Client of the financial monitoring subject" is indicated.

      Detail 4.20 "Place of birth" indicates the place of birth of the transactor in accordance with Appendix 22 " Classifier of the world countries" approved by CUC decision № 378 if the field "2. Individual" or "3. Individual entrepreneur" of detail 4.5 "Type of the transactor" is filled in. It is mandatory to fill in the detail if the field "2. Is" of detail 4.2 "Client of the financial monitoring subject" is indicated.

      Detail 4.21 "Legal address" indicates the legal address for legal entities or the address of the place of registration of the transactor for individuals in the format: area (of cities of republican significance and the capital as well), district, populated locality (city/township/village, excluding cities of republican significance and the capital), name of the street/avenue/micro-district, house number, number of apartment/office (if any).

      Detail 4.22 "Contact phone number" indicates the phone number of the transactor either a mobile number (in the format +7 XXX XXX XXXX) or landline city number (in the format: city code/phone number/internal phone number if any).

      Detail 4.23 "Email" indicates the transactor’s e-mail address registered on the Internet.

      Detail 4.24 "Actual address" indicates the address of the location for legal entities or the address of the residence of the transactor for individuals in the format: area (of cities of republican significance and the capital as well), district, populated locality (city/township/village, excluding cities of republican significance and the capital), name of the street/avenue/micro-district, house number, number of the apartment/office (if any), postal code.

      Detail 4.25 "Additional information on the transactor" indicates additional information on the transactor in whose respect suspicions arise during the implementation of internal control measures about his/her/its involvement in legalization (laundering) of proceeds from crime and (or) financing of terrorism, except for information to be filled out in the details of section 4 " Data on the parties to the transaction subject to financial monitoring".

  Appendix 2
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects

XML format of information provided electronically by financial monitoring subjects

      1. Types of messages in the system

Item №

Type of the message in the system

Name of xml file

1

Information message in the FM-1 form

doc

2

FM-1 form acceptance notice

Ack1

3

FM-1 form rejection notice

Ack2

4

Request for registration of financial monitoring subjects

Registration

5

Receipt for the delivery of the FMS registration request

Ack12

6

Notification of a positive result of consideration of the request for FMS registration

Ack14

7

Notification of a negative result of consideration of the request for FMS registration

Ack13

8

Request for additional information

DocInfo

9

Notification of acceptance of a request for additional information

Ack1

10

Notification of rejection of a request for additional information

Ack2

11

Response to a request for additional information

UponDocInfo

12

Notification of acceptance of a response to a request for additional information

Ack1

13

Notification of rejection of a response to a request for additional information

Ack2

      To provide data, UTF-16 character encoding is used, special characters & (ampersand), <> (opening closing brackets), `(apostrophe) are excluded from the set of valid characters.

      2. Tags that must be present in messages of various purposes

Location of the tag in the document

Type of the element

Description of the element

/ExportData/SignedData/
Sender

Text string up to 32 characters: characters from A to Z, digits from 0 to 9

Sender.
1) A string with the name of the FMS organization that sent the message to the FMC. To be indicated if the sender of the message is FMS.
2) The string "FMC". To be indicated if the sender of the message is FMC.

/ExportData/SignedData/
Receiver

Text string up to 32 characters: characters from A to Z, digits from 0 to 9

Recipient.
1) The string “FMC”. To be indicated if the recipient of the message is FMC.
2) A string with the name of the FMS organization. To be indicated if the recipient of the message is FMS.

/ExportData/SignedData/
TieStamp

DateType (provided as dd.mm.yyyy hh24: mm: ss)

Time of sending the document

/ExportData/SignedData/Data/Root/Version

Text string up to 36 characters: characters from A to F, digits from 0 to 9

GUID of the document version in the format ХХХХХХХХ-ХХХХ-ХХХХ-ХХХХ-ХХХХХХХХХХХХ (hexadecimal number in upper case with hyphens)

/ExportData/SignedData/Data/Root/DocumentUniqueIdentifier

Text string up to 36 characters: characters from A to F, digits from 0 to 9

GUID of the document in the format ХХХХХХХХ-ХХХХ-ХХХХ-ХХХХ-ХХХХХХХХХХХХ (hexadecimal number in upper case with hyphens)

/ExportData/SignedData/Signature

base64 string, formed using the Tumar cryptographic provider in a W3C-compliant format

EDS of the document

/ExportData/TransportType

Number

Transport type

      _____________________

      1. The Check tag is used in notifications of acceptance instead of the Root tag.

      3. Tags used to generate an information message of the FM-1 form of data and information on a transaction subject to financial monitoring

Location of the tag in the document

Type of the element

Description of the element*

/ExportData/SignedData/Data/Root/ PersonalData


[2] Information on the financial monitoring subject that sent the FM-1 form

/ExportData/SignedData/Data/Root/
PersonalData/FirstName

Text string of 100 characters

[2.7 (1)] Surname

/ExportData/SignedData/Data/Root/ PersonalData/SecondName

Text string of 100 characters

[2.7 (2)] Name

/ExportData/SignedData/Data/Root/
PersonalData/MiddleName

Text string of 100 characters

[2.7 (3)] Patronymic (if any)

/ExportData/SignedData/Data/Root/ PersonalData/JobName

Text string of 300 characters

[2.7.1] Position of the executive official

/ExportData/SignedData/Data/Root/ PersonalData/Phone

in the format city code/phone number/extension phone number separated by commas

[2.8] Contact phone numbers

/ExportData/SignedData/Data/Root/ PersonalData/Email

Text string of 100 characters

[2.9] Email

/ExportData/SignedData/Data/Root/ PersonalData/OrganisationCode

Number

[2.1] Code of the financial monitoring subject Numbering and descriptions are in accordance with Appendix 3 to the Rules **.

/ExportData/SignedData/Data/Root/ PersonalData/OrganisationOPF

Number

[2.2 (1.1)] Organizational form of the financial monitoring subject

/ExportData/SignedData/Data/Root/ PersonalData/Organisatio

Text string of 300 characters

[2.2 (1.2)] Name of the financial monitoring subject

/ExportData/SignedData/Data/Root/ PersonalData/OrganisationArea/
@Code

Number

[2.5 (1)] Area code (according to the CATO directory)

/ExportData/SignedData/Data/Root/ PersonalData/OrganisationCity/
@Code

Number

[2.5 (3)] Code of a populated locality (city/township/village) (according to the CATO directory)

/ExportData/SignedData/Data/Root/ PersonalData/OrganisationDistrict/
@Code

Number

[2.5 (2)] District code (according to the CATO directory)

/ExportData/SignedData/Data/Root/ PrsonalData/OrganisationStreet

Text string of 100 characters

[2.5 (4)] Name of the street/avenue/micro-district

/ExportData/SignedData/Data/Root/ PersonalData/OrganisationHouse

Text string of 100 characters

[2.5 (5)] Hose number

/ExportData/SignedData/Data/Root/ PersonalData/OrganisationOffice

Text string of 100 characters

[2.5 (6)] Number of the apartment/office (if any)

/ExportData/SignedData/Data/Root/ PersonalData/OrganisationPostalIndex

Number

[2.5 (7)] Postal code

/ExportData/SignedData/Data/Root/ PesonalData/IINBIN

12 digits

[2.4] IIN/BIN

/ExportData/SignedData/Data/Root/ PersonalData/AdditionalAcData


[2.6 – 2.6.3] Data of the identity document (for СFM that is an individual)

/ExportData/SignedData/Data /Root/PersonalData/AdditionalAcData/ FirstName

Text string

[2.2 (1.2.2)] Name of СFM that is an individual or individual entrepreneur

/ExportData/SignedData/Data /Root/PersonalData/AdditionalAcData/ LastName

Text string

[2.2 (1.2.1)] Surname of СFM that is an individual or individual entrepreneur

/ExportData/SignedData/Data /Root/PersonalData/AdditionalAcData/ MiddleName

Text string

[2.2 (1.2.3)] Patronymic of СFM that is an individual or individual entrepreneur

/ExportData/SignedData/Data/Root/ PersonalData/AdditionalAcData/
@IsAc

True
or
False

Attribute indicating whether the reporting FMS is an individual. If not, the tags corresponding to pp. [2.6 - 2.6.3] of the Rules are not indicated.

/ExportData/SignedData/Data/Root/PersonalData/AdditionalAcData
/DocumentIdentity

Number

[2.6] Type code of the identity document (for individuals). Numbering and descriptions are in accordance with Appendix 4 to the Rules **.

/ExportData/SignedData/Data/Root/
PersonalData/AdditionalAcData/
SeriesDocIdentity

Text string up to 50 characters

[2.6.1 (1)] Number of the identity document (for individuals)

/ExportData/SignedData/Data/Root/
PersonalData/AdditionalAcData/
NumberDocIdentity

Text string up to 50 characters

[2.6.1 (2)] Series of the identity document (for individuals)

/ExportData/SignedData/Data/Root/PersonalData/AdditionalAcData/
DateIssuance

Data (as dd.mm.yyyy)

[2.6.3] Identity document issued on (for individuals)

/ExportData/SignedData/Data/Root/
PersonalData/AdditionalAcData/
DocumentIssued

Text string up to 300 characters

[2.6.2] Identity document issued by (for individuals)

/ExportData/SignedData/Data/Root/ MessageInformation


[1] Data of the message and [3] Information on the transaction subject to financial monitoring

/ExportData/SignedData/Data/Root/MessageInformation/DocumentType

Number

[1.3] Type of document – Numbering and descriptions are in accordance with p.1.3 of Appendix 1 to the Rules **.

/ExportData/SignedData/Data/Root/
Messagenformation/MessageNumbe

Number

[1.1(1)] Number of the FM-1 form

/ExportData/SignedData/Data/Root/
MessageInformation/LastModifyDate

Date as dd.​mm.​yyyy

[1.2] Date of the FM-1 form

/ExportData/SignedData/Data/Root/
MessageInformation/TransactionDate

Date as dd.​mm.​yyyy hh24:m:ss

Time of completion/start/pause of the FMS’s transaction. Absent if the number 4 is indicated in p.[1.4] of the Rules**.

/ExportData/SignedData/Data/Root/
MessageInformation/ViewOperationId

Number

[3.2 (1)] Code of transaction type - Numbering and descriptions are in accordance with Appendix 5 to the Rules**.

/ExportData/SignedData/Data/Root/
MessageInformation/EknpId

Number

[3.3 (1)] SPPC code. The identifier of the SPPC code is indicated.

/ExportData/SignedData/Data/Root/
MessageInformation/EknpId/
@IsEknpNotSetup

True
or
False

[3.3 (2)] Unable to set SPPC code - if set to True

/ExportData/SignedData/Data/Root/
MessageInformation/ OperationNumber

Text string of 30 characters

[3.1] Transaction number

/ExportData/SignedParticipant/IndividualIssueData/Data/Root/MessageInformation/ DocOperationReason

Number

[3.8] Basis for the transaction. Numbering and descriptions are in accordance with Appendix 6 to the Rules**.

/ExportData/SignedData/Data/Root/MessageInformation/DocOperationDate

Text string as dd.​mm.​yyyy

[3.9 (1)] Date of a document that is a basis for the transaction

/ExportData/SignedData/Data/Root/MessageInformation/ DocOperationNumber

Text string of 30 characters

[3.9 (2)] Number of a document that is a basis for the transaction

/ExportData/SignedData/Data/Root/
MessageInforation/ CurrencyCodeId

Number

[3.5] Transaction currency code in accordance with Appendix 23 “Currency Classifier” approved by CUC Decision № 378.

/ExportData/SignedData/Data/Root/MessageInformation/AmountCurrency

Number

[3.6] The transaction amount in the currency it was conducted. Currency format - 99999999999999999999.99 (dot notation)

/ExportData/SignedData/Data/Root/
MessageInformation/
AmountCurrencyTenge

Number

[3.7] Transaction amount in tenge. Currency format - 99999999999999999999.99 (dot notation).

/ExportData/SignedData/Data/Root/
MessageInformation/
OperationStatusId

Number

[1.4] Stage of transaction. Numbering and description are in accordance with p.1.4 of Appendix 1 to the Rules**.

/ExportData/SignedData/Data/Root/
MessageInformation/ReasonFilingId

Number

[1.5] Basis for reporting. Numbering and descriptions are in accordance with level one of p.1.5 of Appendix 1 to the Rules**.

/ExportData/SignedData/Data/Root/
MessageInformaton/CounterMeasure


[1.5] Countermeasure when matching the list of organizations and individuals. Numbering and descriptions are in accordance with level two of sp. 4. of p.1.5 of Appendix 1 to the Rules**.

/ExportData/SignedData/Data/Root/
MessageInformation/SuspicionFirst

Number

[3.10] Code of the sign of a suspicious transaction Numbering and descriptions are in accordance with Appendix 7 to the Rules**. It is mandatory to fill in the detail if item 2 is indicated in detail 1.5 of Appendix 1 to the Rules**.

/ExportData/SignedData/Data/Root/
MessageInormation/SuspicionSecond

Number

[3.11] 1st additional sign of a suspicious transaction. Numbering and descriptions are in accordance with Appendix 7 to the Rules**.

/ExportData/SignedData/Data/Root/
MessageInformation/SuspicionThird

Number

[3.12] 2nd additional sign of a suspicious transaction. Numbering and descriptions are in accordance with Appendix 7 to the Rules**.

/ExportData/SignedData/Data/Root/
MessageInformation/
DescriptionDifficulties

Text string of 1000 characters

[3.13] Description of difficulties encountered in qualifying the transaction as suspicious

/ExportData/SignedData/Data/Root/
MessageInformation/MoreInformation

Text string of 1000 characters

[3.14] Additional information on the transaction

/ExportData/SignedData/Data/Root/
MessageInformation/ParticipantCount

Number

[3.4] Number of transactors

/ExportData/SignedData/Data/Root/
MessageInformation/MerchTypes

Number

[3.2 (2.1)] Type of property. Code of property type:
1 – Car
2 – Apartment
3 – Land lot
4 - Other

/ExportData/SignedData/Data/Root/
MessageInformation/MerchRegnfo

Text string of 50 characters

[3.2 (2.2)] Registration number of property

/ExportData/SignedData/Data/Root/
MessageInformation/ReferCount


Number of relations with other FM-1 forms

/ExportData/SignedData/Data/Root/ References


[1.1 (2)] Data on relations with other FM-1 forms (if any)

/ExportData/SignedData/Data/Root/ References/Reference


[1.1 (2)] Relation to another FM-1 form

/ExportData/SignedData/Data/Root/ References/Reference/ReferenceId

Number

Serial number of relation with another form

/ExportData/SignedData/Data/Root/
References/ Reference /ReferenceOperationNumber

Text string of 50 characters

[1.1 (2.1)] Number of the related FM-1 form

/ExportData/SignedData/Data/Root/
References/Reference /ReferenceDocOperationDate

Text string as dd.​mm.​yyyy

[1.1 (2.2)] Data of the related FM-1 form

/ExportData/SignedData/Data/Root/
References/Reference /ReferenceDocOperationNumber

Text string of 50 characters

Number of the transaction in the related form

/ExportData/SignedData/Data/Root/ Participants


[4] Data on parties to the transaction subject to financial monitoring

/ExportData/SignedData/Data/Root/ Participants/Participant


[4] Data on the parties to the transaction subject to financial monitoring

/ExportData/SignedData/Data/Root/Participants/Participant/MemberId

Number

[4.1] Transactor. Numbering and descriptions are in accordance with p. 4. of Appendix 1 to the Rules**.

/ExportData/SignedData/Data/Root/Participants/Participant/ParticipantsView

Number

[4.3] Kind of the transactor. Numbering and descriptions are in accordance with Appendix 6 to the Rules**.

/ExportData/SignedData/Data/Root/
Participants/Participant/
ParticipantsType

Number

[4.5] Type of the transactor. Numbering and descriptions are in accordance with p. 4.5 of Appendix 1 to the Rules for submitting СFM data.
Depending on the transactor’s type, one of the threads is filled in:
- AdditionalInformationUr – for legal entities;
- AdditionalInformationAc – for individuals;
- AdditionalInformationIp – for individual entrepreneurs.

/ExportData/SignedData/Data/Root/
Participants/Participant/IsClientSubject

Number

[4.2] Client of the financial monitoring subject. Numbering and descriptions are in accordance with p.4.2 of Appendix 1 to the Rules **. Indicate the number “1” if it is not a client of FMS, the number “2” if it is a client

/ExportData/SignedData/Data/Root/
Participants/Participant/Residence

String of 2 characters (country character code)

[4.4] Residence. Numbering and descriptions are in accordance with Appendix 22 "Classifier of the world countries" approved by CUC decision № 378.

/ExportData/SignedData/Data/Root/
Participants/Participant/ForeignPerson

Number

[4.6] Foreign public official. Numbering and descriptions are in accordance with p.4.6 of Appendix 1 to the Rules**.

/ExportData/SignedData/Data/Root/
Participants/Participant/CorrespondentBank


[4.7] Bank of the transactor

/ExportData/SignedData/Data/Root/
Participants/Participant/
CorrespondentBank/
AccountNumber

Text string of 300 characters

[4.7 (1.4)] Transactor’s account number

/ExportData/SignedData/Data/Root/
Participants/Participant/
CorrespondentBank/Name

Text string of 300 characters

[4.7 (1.2)] Name of the bank/branch

/ExportData/SignedData/Data/Root/
Participants/Participant/
CorrespondentBank/Code

Text string of 50 characters

[4.7 (1.3)] Code of the bank/branch

/ExportData/SignedData/Data/Root/Participants/Participant/CorrespondentBank/BankAddress



/ExportData/SignedData/Data/Root/
Participants/Participant/
CorrespondentBank/BankCountry

String of 2 characters (country character code)

[4.7 (1.1)] Location of the bank. Numbering and descriptions are in accordance with Appendix 22 "Classifier of the world countries" approved by CUC decision № 378.

/ExportData/SignedData/Data/Root/
Participants/Participant/
CorrespondentBank/BankCity

Text string of 50 characters

[4.7 (1.1)] Location of the branch if it is located in the Republic of Kazakhstan. The populated locality where the transaction is initiated/completed is indicated

/ExportData/SignedData/Data/Root/
Participants/Participant/CorrespondentBank/BankOffshoreAddr

String of 2 characters (country character code)
 

[4.7 (1.1)] Country of offshore detail 3.2 “Code of the transaction’s type” has the value 611-634. It is necessary to indicate the identifier of the offshore zone in accordance with Order № 52 of the acting Minister of Finance of the Republic of Kazakhstan as of February 10, 2010 “On approval of the List of offshore zones for the purposes of the Law of the Republic of Kazakhstan “On Counteracting the Legalization (Laundering) of Criminally Obtained Incomes and Financing of Terrorism” registered in the State Registration Register of Regulatory Legal Acts under № 6058.

/ExportData/SignedData/Data/Root/
Participants/Participant/
CorrespondentBank/@IsOffshore

True
or
False

Auxiliary sign of the location of a branch in an offshore zone

/ExportData/SignedData/Data/Root/Participants/Participant/CorrespondentBank/
CorrespondentsInformations


[4.7 (1.5) ] Information on the correspondent accounts involved in the transaction

/ExportData/SignedData/Data/Root/Participants/Participant/CorrespondentBank/
CorrespondentsInformations/
CorrespondentInformation


[4.7 (1.5)] Data on the correspondent account involved in the transaction

/ExportData/SignedData/Data/Root/Participants/Participant/CorrespondentBank/CorrespondentsInformations/
CorrespondentInformation/BankName

Text string of 300 characters

[4.7 (1.5.2)] Name of the bank

/ExportData/SignedData/Data/Root/Participants/Participant/CorrespondentBank/CorrespondentsInformations/
CorrespondentInformation/
BankCountry

String of 2 characters (country character code)

[4.7 (1.5.1)] Location of the bank.
Numbering and description are in accordance with Appendix 22 “Classifier of the world countries” approved by CUC decision № 378.

/ExportData/SignedData/Data/Root/
Participants/Participant/IndividualIssue

Text string of 32 characters

[4.13] IIN/BIN

/ExportData/SignedData/Data/Root/
Participants/Participant/OKED

Text string of 5 characters

[4.12] CCEA. CCEA code is indicated in accordance with the “Common Classifier of Economic Activities (CCEA 5-digit)” approved by Order № 67 of the Chairman of the Statistics Agency of the Republic of Kazakhstan as of May 20, 2008, posted on the official website of the Statistics Committee of the Ministry of National Economy of the Republic of Kazakhstan.

/ExportData/SignedData/Data/Root/
Participants/Participant/PhoneNumber

in the format: city code/phone number/extension phone number separated by commas

[4.22] Contact phone number

/ExportData/SignedData/Data/Root/
Participants/Participant/Email

Text string of 100 characters

[4.23] Email

/ExportData/SignedData/Data/Root/
Participants/Participant/
AdditionalInformation

Text string of 1000 characters

[4.25] Additional information on the transactor

/ExportData/SignedData/Data/Root/
Participants/Participant/
MoneyTransSys

Number

[4.7 (1.2.1)] Name of the money transfer system

/ExportData/SignedData/Data/Root/Participants/Participant/Founders


[4.9] Founders of the transactor (for legal)

/ExportData/SignedData/Data/Root/Participants/Participant/Founders/
Founder


[4.9] Founder of the transactor (for legal)

/ExportData/SignedData/Data/Root/
Participants/
Participant/Founders/Founder/
FounderType

Number

Auxiliary sign of the founder’s type:
1 – Legal entity
2 – Individual
3 – Individual entrepreneur

/ExportData/SignedData/Data/Root/
Participants/Participant/Founders/
Founder/FounderOPF

Text string of 1000 characters

[4.9 (1.1)] Organizational form of the transactor’s founder (to be filled in for a legal entity)

/ExportData/SignedData/Data/Root/
Participants/Participant/Founders/
Founder/Name

Text string of 1000 characters

[4.9 (2.1)] Name of the transactor’s founder (to be filled in for a legal entity)

/ExportData/SignedData/Data/Root/
Participants/Participant/Founders/
Founder/FirstName

Text string of 300 characters

[4.9 (1.2.2)] Name of the transactor’s founder (to be filled in for the founder of an individual)

/ExportData/SignedData/Data/Root/
Participants/Participant/
Founders/Founder/SecondName

Text string of 300 characters

[4.9 (1.2.1)] Surname of the transactor’s founder (to be filled in for the founder of an individual)

/ExportData/SignedData/Data/Root/
Participants/Participant/
Founders/Founder/MiddleName

Text string of 300 characters

[4.9 (1.2.3)] Patronymic of the transactor’s founder (to be filled in for the founder of an individual)

/ExportData/SignedData/Data/Root/
Participants/Participant/
Founders/Founder/Residence

String of 2 characters (country character code)

[4.9 (2)] Residence of the transactor’s founder. Numbering and description are in accordance with Appendix 22 “Classifier of the world countries” approved by Decision № 378

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo


Additional information on transactors. Division into legal entities, individuals and individual entrepreneurs

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationUr


Additional information on the transactor that is a legal entity

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationUr/URAddress

Composite type Address

[4.21] Legal address. The description is given below in the description of composite element types.

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationUr/ACAddress

Composite type Address

[4.24] Actual address. The description is given below in the description of composite element types.

/ExportData/SignedData/Data/Root/
Participants/Participant/AdditionalPersonInfo/
AdditionalInformationUr/FullName

Text string of 300 characters

[4.8 (1.2)] Name of the transactor (for transactors – legal entities)

/ExportData/SignedData/Data/Root/
Participants/Participant/
AdditionalPersonInfo/AdditionalInformationUr/FullName/
@IsFullNameSetup

True
or
False

[4.8 (2)] Impossible to identify the name of the transactor if the value is True (for transactors - legal entities)

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationUr/FirstHead


[4.10] The head (for transactors - legal entities)

/ExportData/SignedData/Data/Root/
Participants/Participant/
AdditionalPersonInfo/
AdditionalInformationUr/
FirstHead/FirstName

Text string of 300 characters

[4.10 (2)] The head’s name

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationUr/FirstHead/SecondName

Text string of 300 characters

[4.10 (1)] The head’s surname

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationUr/FirstHead/MiddleName

Text string of 300 characters

[4.10 (3)] The head’s patronymic (if any)

/ExportData/SignedData/Data/Root/
Participants/Participant/AdditionalPersonInfo/AdditionalInformationUr/
ParticipantOPF

Number

[4.8 (1.1)] Transactor’s organizational form (for transactors - legal entities)

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationAc


Additional information on the transactor that is an individual

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationAc/URAddress

Composite type Address

[4.21] Legal address. Description is given below.

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/
AdditionalInformationAc/
ACAddress

Composite type Address

[4.24] Actual address. Description is given below.

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationAc
/FIO


[4.14] FIO (for individuals)

/ExportData/SignedData/Data/Root/
Participants/Participant/AdditionalPersonInfo/AdditionalInformationAc/
FIO/FirstName

Text string of 1000 characters

[4.14 (1.2)] Name

/ExportData/SignedData/Data/Root/
Participants/Participant/AdditionalPersonInfo/AdditionalInformationAc/FIO/SecondName

Text string of 1000 characters

[4.14 (1.1)] Surname

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/
AdditionalInformationAc/
FIO/MiddleName

Text string of 1000 characters

[4.14 (1.3)] Patronymic (if any)

/ExportData/SignedData/Data/Root/
Participants/Participant/AdditionalPersonInfo/AdditionalInformationAc/FIO
@IsFioNotSetup

True
or
False

[4.14 (2.1)] Impossible to identify in case of the True value

/ExportData/SignedData/Data/Root/
Participants/Participant/AdditionalPersonInfo/AdditionalInformationAc/
PlaceBirth

Text string of 300 characters

[4.20] Place of birth (for individuals)

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationAc/
DateBirth

Text string as dd.​mm.​yyyy

[4.19] Date of birth (for individuals)

/ExportData/SignedData/Data/Root/
Participants/Participant/
AdditionalPersonInfo/AdditionalInformationAc/DocumentIdentity

Number

[4.15] Identity document. Numbering and descriptions are in accordance with Appendix 4 to the Rules**.

/ExportData/SignedData/Data/Root/
Participants/Participant/
AdditionalPersonInfo/AdditionalInformationAc/SeriesDocIdentity

Text string of 10 characters

[4.16 (2)] Series of the identity document

/ExportData/SignedData/Data/Root/
Participants/Participant/AdditionalPersonInfo/AdditionalInformationAc/NumberDocIdentity

Text string of 20 characters

[4.16 (1)] Number of the identity document

/ExportData/SignedData/Data/Root/
Participants/Participant/AdditionalPersonInfo/AdditionalInformationAc/
DocumentIssued

Text string of 300 characters

[4.17] The identity document is issued by

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationAc/DateIssuance

Text string as dd.​mm.​yyyy

[4.18] The identity document is issued on

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationIp


Additional information on an individual entrepreneur - the composition of the tags is the same as that for an individual, except for the “ParticipantOPF” tag below. This tag is located between the “FIO” and “PlaceBirth” tags.

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/URAddress

Composite type Address

[4.21] Legal address. The description is given below.

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/ACAddress

Composite type Address

[4.24] Actual address. The description is given below.

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/FIO


[4.14] FIO (for individual entrepreneurs)

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/
FIO/FirstName

Text string of 1000 characters

[4.14 (1.2)] Name

/ExportData/SignedData/Data/Root/Participants/Participant/
AdditionalPersonInfo/ AdditionalInformationIp/FIO/
SecondName

Text string of 1000 characters

[4.14 (1.1)] Surname

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/
FIO/MiddleName

Text string of 1000 characters

[4.14 (1.3)] Patronymic (if any)

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/FIO/
@IsFioNotSetup

True
or
False

[4.14 (2.1)] Impossible to identify in case of the True value

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/
PlaceBirth

Text string of 300 characters

[4.20] Place of birth for individual entrepreneurs)

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/
DateBirth

Text string as dd.​mm.​yyyy

[4.19] Date of birth (for individual entrepreneurs)

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/
DocumentIdentity

Number

[4.15] Identity document. Numbering and descriptions are in accordance with Appendix 4 to the Rules**.

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/
SeriesDocIdentity

Text string of 10 characters

[4.16 (2)] Series of the identity document

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/AdditionalInformationIp/NumberDocIdentity

Text string of 20 characters

[4.16 (1)] Number of the identity document

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/
DocumentIssued

Text string of 300 characters

[4.17] The identity document is issued by

/ExportData/SignedData/Data/Root/Participants/Participant/AdditionalPersonInfo/ AdditionalInformationIp/
DateIssuance

Text string as dd.​mm.​yyyy

[4.18] The identity document is issued on

      4. Description of composite element types

Type identifier

Simple element identifier

Element type

Description of the element

Address

Country

2-character string (country character code)

Country code. Numbering and descriptions are in accordance with Appendix 22 “Classifier of the world countries” approved by CUC Decision
№ 378.


Area

Text string of 100 characters

Area

Area/@Code

Number

CATO code of the area

District

Text string of 100 characters

District

District/@Code

Number

CATO code of the district

Town

Text string of 100 characters

Populated locality

Town/@Code

Number

CATO code of the populated locality

Street

Text string of 100 characters

Street

HomeNumber

Text string of 10 characters

House number

OfficeNumber

Text string of 10 characters

Office number

PostalCode

Text string containing digits

Postal code

      2. The Root tag is used in notifications of rejection instead of the Check tag.

      5. Tags used to generate a notification of acceptance/rejection of the FM-1 form of data and information on a transaction subject to financial monitoring

Location of the tag in the document

Element type

Description of the element

/ExportData/SignedData/Data/Сheck/
Description

Text string of 3000 characters

Explanations (applied when sending a notification again)

/ExportData/SignedData/Data/Сheck/
OriginalDocumentGuid

Text string of 36 characters: characters from A to Z, digits from 0 to 9

GUID of the parent message in the format ХХХХХХХХ-ХХХХ-ХХХХ-ХХХХ-ХХХХХХХХХХХХ (hexadecimal number in the upper case with hyphens)

/ExportData/SignedData/Data/Сheck/ ErrorCode

Number

Error code. In case of notification with refusal, it is different from 0

/ExportData/SignedData/Data/Сheck/
ErrorName

Text string of 3000 characters

Name of error\encountered difficulties

/ExportData/SignedData/Data/Сheck/
AcceptanceDateTime

Date as dd.mm.yyyy hh24:mi:ss

Date and time of acceptance (rejection) of FM-1 form

      6. Tags used to generate a FMS registration request

Location of the tag in the document

Element type

Description of the element

/ExportData/SignedData/Data/Root/OrganisationData


Information on FMS, its founders and responsible persons

/ExportData/SignedData/Data/Root/
OrganisationData/SystemId

Number

Identifier of registered FMS. It is indicated only when correcting or changing registration information. The value must match the /ExportData/SignedData/Data/Root/SystemId / tag from the notification of FMC registration request approval.

/ExportData/SignedData/Data/Root/
OrganisationData/FMSCode

Number

Code of the financial monitoring subject. Numbering and descriptions are in accordance with Appendix 3 to the Rules**. (If registration is successful, this value is indicated in field [2.1] of FM-1Form.)

/ExportData/SignedData/Data/Root/
OrganisationData/OpfCode

Number

OLF code of the financial monitoring subject. Numbering and descriptions are in accordance with the classifier of organizational and legal forms. If registration is successful, this value is indicated in the field [2.2 (1.1)] of FM-1 form.

/ExportData/SignedData/Data/Root/
OrganisationData/OrgName

Text string of 300 characters

Name of the financial monitoring subject. If registration is successful, this value is indicated in the field [2.2 (1.2)] of FM-1 form.

/ExportData/SignedData/Data/Root/
OrganisationData/IINBIN

12 digits

IIN/BIN of the financial monitoring subject (If registration is successful, this value is indicated in the field [2.4] of FM-1 form.)

/ExportData/SignedData/Data/Root/
OrganisationData/PostalIndex

Text string of 30 characters

Postal code of the financial monitoring subject. If registration is successful, this value is indicated in the field [2.5 (7)] of FM-1 form

/ExportData/SignedData/Data/Root/
OrganisationData/Area/@code

Number

Area code according to the CATO directory. If registration is successful, this value is indicated in the field [2.5 (1)] of FM-1 form.

/ExportData/SignedData/Data/Root/
OrganisationData/District/@code

Number

District code according to the CATO directory. If registration is successful, this value is indicated in the field [2.5 (2)] of FM-1 form.

/ExportData/SignedData/Data/Root/
OrganisationData/City/@code

Number

Code of the populated locality (city/township/village) according to the CATO directory. If registration is successful, this value is indicated in the field [2.5 (3)] of FM-1 form.

/ExportData/SignedData/Data/Root/
OrganisationData/Street

Text string of 100 characters

Name of the street/avenue/m-district. If registration is successful, this value is indicated in the field [2.5 (4)] of FM-1 form.

/ExportData/SignedData/Data/Root/
OrganisationData/House

Text string of 100 characters

House №. If registration is successful, this value is indicated in the field [2.5 (5)] of FM-1 form.

/ExportData/SignedData/Data/Root/
OrganisationData/Office

Text string of 100 characters

Apartment/office №. If registration is successful, this value is indicated in the field [2.5 (6)] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/
AdditionalAcData


Additional information on the individual that is a financial monitoring subject

/ExportData/SignedData/Data/Root/
OrganisationData/AdditionalAcData/
@IsAc

True
or
False

Attribute indicating whether the financial monitoring subject is an individual. If not, then tags in /ExportData/SignedData/Data/Root/OrganisationData/AdditionalAcData are not specified.

/ExportData/SignedData/Data/Root/OrganisationData/
AdditionalAcData/FirstName

Text string of 100 characters

Name of the individual that is a financial monitoring subject. If registration is successful, this value is indicated in the field [2.2 (1.2.2)] of FM-1 form

/ExportData/SignedData/Data/Root/OrganisationData/AdditionalAcData/
LastName

Text string of 100 characters

Surname of the individual that is a financial monitoring subject. If registration is successful, this value is indicated in the field [2.2 (1.2.1)] of FM-1 form

/ExportData/SignedData/Data/Root/OrganisationData/AdditionalAcData/MiddleName

Text string of 100 characters

Patronymic of the individual that is a financial monitoring subject. If registration is successful, this value is indicated in the field [2.2 (1.2.3)] of FM-1 form

/ExportData/SignedData/Data/Root/OrganisationData/AdditionalAcData/
DocumentIdentity

Number

Code of the identity document type (for individuals). Numbering and descriptions are in accordance with Appendix 4 to the Rules**. If registration is successful, this value is indicated in the field [2.6] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/AdditionalAcData/
SeriesDocIdentity

Text string of 50 characters

Identity document number (for individuals). If registration is successful, this value is indicated in the field [2.6.1 (1)] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/AdditionalAcData/
NumberDocIdentity

Text string of 50 characters

Series of the identity document (for individuals). If registration is successful, this value is indicated in the field [2.6.1 (2)] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/AdditionalAcData/ DateIssuance

Date (as dd.mm.yyyy)

Identity document issued on (for individuals). If registration is successful, this value is indicated in the field [2.6.3] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/AdditionalAcData/ DocumentIssued

Text string of 300 characters

Identity document issued by (for individuals). If registration is successful, this value is indicated in the field [2.6.2] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/Persons


Information on responsible persons of the financial monitoring subject

/ExportData/SignedData/Data/Root/OrganisationData/Persons/Person


Information on the responsible person of the financial monitoring subject

/ExportData/SignedData/Data/Root/OrganisationData/Persons/Person/ FirstName

Text string of 100 characters

Name of the responsible person of the financial monitoring subject. If registration is successful, this value is indicated in the field [2.7(2)] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/Persons/Person/
LastName

Text string of 100 characters

Surname of the responsible person of the financial monitoring subject. If registration is successful, this value is indicated in the field [2.7(1)] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/Persons/Person/
MiddleName

Text string of 100 characters

Patronymic of the responsible person of the financial monitoring subject. If registration is successful, this value is indicated in the field [2.7(3)] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/Persons/Person/
JobName

Text string of 300 characters

Position of the responsible person of the financial monitoring subject. If registration is successful, this value is indicated in the field [2.7.1] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/Persons/Person/
Phone

Text string of 300 characters in the format: city/phone number/extension phone number separated by commas

Phone number of the responsible person of the financial monitoring subject. If registration is successful, this value is indicated in the field [2.8] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/Persons/Person/
Email

Text string of 100 characters

Email address of the responsible person of the financial monitoring subject. If registration is successful, this value is indicated in the field [2.9] of FM-1 form.

/ExportData/SignedData/Data/Root/OrganisationData/Persons/Person/
Certificate

Up to 32Kb

Public-key certificate of the responsible person of the financial monitoring subject

/ExportData/SignedData/Data/Root/OrganisationData/Persons/Person/
Certificate/@Name

Text string of 50 characters

Name of the public-key certificate of the responsible person of the financial monitoring subject

/ExportData/SignedData/Data/Root/OrganisationData/Persons/Person/
Certificate/@Size

Number

Size of the public-key certificate of the responsible person of the financial monitoring subject

      7. Tags used to generate a receipt for the delivery of a registration request in FMC

Location of the tag in the document

Element type

Description of the element

/ExportData/SignedData/Data/Сheck/Description

Text string of 3000 characters

Explanations (applied when re-sending the receipt)

/ExportData/SignedData/Data/Сheck/OriginalDocumentGuid

Text string of 36 characters: characters from A to F, digits from 0 to 9

GUID of the parent message in the format ХХХХХХХХ-ХХХХ-ХХХХ-ХХХХ-ХХХХХХХХХХХХ (hexadecimal number in upper case with hyphens)

/ExportData/SignedData/Data/Сheck/MessDate

Date (as dd.mm.yyyy hh:mm:ss)

Date of sending the registration request for which the receipt was generated

/ExportData/SignedData/Data/Сheck/MessOwn

Text string

Sender of the registration request, for which the receipt was generated

/ExportData/SignedData/Data/Сheck/ErrorCode

Number

Error code. In the case of a refusal receipt, it is different from 0.

/ExportData/SignedData/Data/Сheck/ErrorName

Text string of 3000 characters

Name of error\encountered difficulties

      8. Tags used to generate a notification of a positive result of consideration of a FMS registration request

Location of the tag in the document

Element type

Description of the element

/ExportData/SignedData/Data/Root/Description

Text string of 3000 characters

Explanations (applied when sending a notification again)

/ExportData/SignedData/Data/Root/OriginalDocumentGuid

Text string of 36 characters: characters from A to F, digits from 0 to 9

GUID of the parent message in the format ХХХХХХХХ-ХХХХ-ХХХХ-ХХХХ-ХХХХХХХХХХХХ (hexadecimal number in upper case with hyphens)

/ExportData/SignedData/Data/Root/MessDate

Date (as dd.mm.yyyy hh:mm:ss)

Date of sending the registration request for which the notification was generated

/ExportData/SignedData/Data/Root/MessOwn


Sender of the registration request, for which the notification was generated

/ExportData/SignedData/Data/Root/SystemId

Number

FMS identifier assigned during registration

      9. Tags used to generate a notification of a negative result of consideration of a FMS registration request

Location of the tag in the document

Element type

Description of the element

/ExportData/SignedData/Data/Root/Description

Text string of 3000 characters

Explanations (applied when sending a notification again)

/ExportData/SignedData/Data/Root/OriginalDocumentGuid

Text string of 36 characters: characters from A to F, digits from 0 to 9

GUID of the parent message in the format ХХХХХХХХ-ХХХХ-ХХХХ-ХХХХ-ХХХХХХХХХХХХ (hexadecimal number in upper case with hyphens)

/ExportData/SignedData/Data/Root/MessDate

Date (as dd.mm.yyyy hh:mm:ss)

Date of sending the registration request for which the notification was generated

/ExportData/SignedData/Data/Root/MessOwn

Text string

Sender of the registration request, for which the notification was generated

/ExportData/SignedData/Data/Root/ErrorCode

Number

Error code. Different from 0

/ExportData/SignedData/Data/Root/ErrorName

Text string of 3000 characters

Name of error\encountered difficulties

      10. Tags used to generate a request for receipt of additional information from FMS

Location of the tag in the document

Element type

Description of the element

/ExportData/SignedData/FormNumber

Number

Message number

/ExportData/SignedData/Data/Root/
OriginalDocumentGuid

Text string of 36 characters: characters from A to F, digits from 0 to 9

GUID of the parent message in the format ХХХХХХХХ-ХХХХ-ХХХХ-ХХХХ-ХХХХХХХХХХХХ (hexadecimal number in upper case with hyphens)

/ExportData/SignedData/Data/Root/
CountDays

Number

Number of days to respond to a request

/ExportData/SignedData/Data/Root/
Description

Text string of 3000 characters

Text of request for additional information from FMS

/ExportData/SignedData/Data/Root/
RequestDateTime

Date as dd.mm.yyyy hh24:mi:ss

Date and time of sending the request

      11. Tags used to generate a notification about acceptance of a request for additional information

Location of the tag in the document

Element type

Description of the element

/ExportData/SignedData/FormNumber

Number

Message number

/ExportData/SignedData/Data/Сheck/
OriginalDocumentGuid

Text string of 32 or 36 characters: characters from A to F a-f, digits from 0 to 9
 

GUID of the parent message in the format ХХХХХХХХ-ХХХХ-ХХХХ-ХХХХ-ХХХХХХХХХХХХ (hexadecimal number in upper case with hyphens)

/ExportData/SignedData/Data/Сheck/
ErrorCode

Number

Error code. In case of notification with refusal, it is different from 0

/ExportData/SignedData/Data/Сheck/
ErrorName

Text string of 3000 characters

Name of error\encountered difficulties

/ExportData/SignedData/Data/Сheck/
AcceptanceDateTime

Date as dd.mm.yyyy hh24:mi:ss

Date and time of accepting the request

      12. Tags used to generate a response to a request for the receipt of additional information from FMS

Location of the tag in the document

Element type

Description of the element

/ExportData/SignedData/Data/Root/
OriginalDocumentGuid

Text string up to 36 characters: characters from A to Z, digits from 0 to 9

GUID of the parent message in the format ХХХХХХХХ-ХХХХ-ХХХХ-ХХХХ-ХХХХХХХХХХХХ (hexadecimal number in upper case with hyphens)

/ExportData/SignedData/Data/Root/
Comment

Text string of 3000 characters

Text of the response to the request for additional information from FMS

/ExportData/SignedData/Data/Root/ResponseDateTime

Date as dd.mm.yyyy hh24:mi:ss

Date and time of sending then response

/ExportData/SignedData/Data/Root/Attachments/Attachment/FileName

Text string of 255 characters

Name of the attached file

/ExportData/SignedData/Data/Root/Attachments/Attachment/Length

Number

File size

/ExportData/SignedData/Data/Root/Attachments/Attachment/BrokenFilesInfo/BrokenFileInfo/Name

Text string of 255 characters

Name of a portion of the attached file

/ExportData/SignedData/Data/Root/Attachments/Attachment/BrokenFilesInfo/BrokenFileInfo/Length

Number

Size of a portion of the attached file

/ExportData/SignedData/Data/Root/Attachments/Attachment/BrokenFilesInfo/BrokenFileInfo/Buffer

Base64 encoded string

Content of a portion of the attached file

      Note:

      * the numbering corresponds to the details of the FM-1 form of Appendix 1 to these Rules;

      ** these Rules.

      Explanation of abbreviations:

      CATO - classifier of administrative - territorial objects;

      FMC - Financial Monitoring Committee of the Ministry of Finance of the Republic of Kazakhstan;

      FMS - financial monitoring subjects;

      SPPC – single payment purpose classifier;

      OLF - organizational and legal form;

      CCEA - common classifier of economic activity;

      EDS - electronic digital signature.

  Appendix 3
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects
  Form

Notification about acceptance or rejection of the FM-1 form of data and information on a transaction subject to financial monitoring

      ___________________________________________________________________

      (authorized body)

      notifies_____________________________________________________________

      (name of the financial monitoring subject)

      of___________________________ FM-1 form № ____ as of _________________.

      (acceptance/rejection)

      Reason for rejection (indicated only in case of rejection of FM-1 form)

      ____________________________________________________________________.

      In connection therewith,_________________________________________ shall:

      (name of the financial monitoring subject)

      1. Eliminate the reasons for sending to ___________________________________

      (authorized body)

      of distorted or incomplete information.

      2. Within 1 working day of receipt by ____________________________________

      (name of the financial monitoring subject)

      of this notification, it shall correct rejected by _____________________________

      (authorized body)

      message about the transaction subject to financial monitoring, submit it again in accordance with the provisions of the Procedure for submitting data and information on transactions subject to financial monitoring by financial monitoring subjects.

___________________________
(Surname, name, patronymic (if any) of the authorized person of the authorized body)

____________
(signature)

___________________
(full name)

      Date and time of acceptance or rejection of the FM-1 form:___________________

  Appendix 4
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects

Directory of codes of types of financial monitoring subjects

Code

Name

1

2

011

Banks

013

Exchange offices

014

Subsidiaries of the national management holding in the field of the agro-industrial complex

015

Mortgage organizations

016

Other organizations carrying out certain types of banking operations

022

Stock exchanges

023

Commodity exchanges

031

Insurance (reinsurance) companies

032

Insurance brokers

033

Mutual insurance society

042

Unified accumulative pension fund

043

Voluntary pension savings funds

051

Professional participants in the securities market

052

Central securities depository

061

Notaries performing notarial activities with money and (or) other property

071

Lawyers

072

Independent legal experts

073

Legal advisers

081

Auditing organizations

082

Accounting organizations and professional accountants carrying out business activities in the field of accounting

092

Lottery organizers

093

Casino

094

Slot machine halls

095

Bookmaker offices

096

Betting houses

101

Postal operators providing money transfer services

110

Microfinance organizations

111

Credit partnerships

130

Individual entrepreneurs and legal entities carrying out leasing activities as a lessor without a license

140

Pawnshops

150

Individual entrepreneurs and legal entities carrying out operations with precious metals and precious stones, jewelry made of them

160

Individual entrepreneurs and legal entities that provide intermediary services in the implementation of real estate purchase and sale transactions

171

Social Health Insurance Fund

172

Payment institutions

173

Participants of the Astana International Financial Center

174

Branches of non-resident banks of the Republic of Kazakhstan

175

Branches of insurance (reinsurance) companies that are non-residents of the Republic of Kazakhstan

176

Branches of insurance brokers that are non-residents of the Republic of Kazakhstan

  Appendix 5
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects

Directory of codes of identity documents

Code

Name of identity documents

1

2

01

Identity card of a citizen of the Republic of Kazakhstan

02

Passport of a citizen of the Republic of Kazakhstan

03

International passport

04

Residence permit of a foreigner in the Republic of Kazakhstan

05

Stateless person certificate

06

Diplomatic passport of the Republic of Kazakhstan

07

Service passport of the Republic of Kazakhstan

08

Refugee certificate

09

Seafarer identity card of the Republic of Kazakhstan

010

Birth certificate

011

Certificate of return

  Appendix 6
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects

Directory of codes of types of transactions subject to financial monitoring

Code

Name

1

2

0111

Receipt of a winning in cash based on the results of a bet

0112

Receipt of a winning in electronic form based on the results of a bet

0121

Receipt of a winning in cash based on the results of gambling in gambling facilities

0122

Receipt of a winning in electronic form based on the results of gambling in gambling facilities

0131

Receipt of a winning in cash based on the results of the lottery

0132

Receipt of a winning in electronic form based on the results of the lottery

0211

Purchase of foreign currency through exchange offices in cash

0221

Sale of foreign currency in cash through exchange offices in cash

0311

Cashing of a check

0321

Cashing of a bill

0511

Withdrawing money from a client’s bank account

0521

Crediting money to a client’s bank account

0530

Cash withdrawal by a client

0540

Acceptance of cash from a client

0623

Crediting or transferring money to a client’s bank account by an individual or legal entity with registration, place of residence or location in an offshore zone, respectively, and also holding an account with a bank registered in an offshore zone

0633

Crediting or transferring money by a client in favor of individuals or legal entities with registration, place of residence or location in an offshore zone, and also holding an account with a bank registered in an offshore zone

0640

Client’s transactions with money and (or) other property with individuals or legal entities with registration, place of residence or location in an offshore zone, and also holding an account with a bank registered in an offshore zone

0711

Money transfers abroad to accounts (deposits) opened for an anonymous owner in cash or non-cash form

0721

Receipt of money from abroad from an account (deposit) opened for an anonymous owner in cash or non-cash form

0911

Payments and money transfers made by a client in favor of another person on a gratuitous basis, in cash or non-cash form

1011

Purchase of cultural valuables in cash

1012

Sale of cultural valuables in cash

1021

Importation of cultural valuables ​​into the Republic of Kazakhstan

1022

Exportation of cultural valuables from the Republic of Kazakhstan

1111

Transactions in cash or non-cash form performed by legal entities whose state registration was less than three months ago

1211

Importation of cash currency into the Republic of Kazakhstan, except for the importation carried out by the National Bank of the Republic of Kazakhstan, banks and the national postal operator

1212

Importation of certified securities into the Republic of Kazakhstan, except for the importation carried out by the National Bank of the Republic of Kazakhstan, banks and the national postal operator

1213

Importation of bills into the Republic of Kazakhstan, except for the importation carried out by the National Bank of the Republic of Kazakhstan, banks and the national postal operator

1214

Importation of checks into the Republic of Kazakhstan, except for the importation carried out by the National Bank of the Republic of Kazakhstan, banks and the national postal operator

1221

Exportation of cash currency from the Republic of Kazakhstan, except for the exportation carried out by the National Bank of the Republic of Kazakhstan, banks and the national postal operator

1222

Exportation of certified securities into the Republic of Kazakhstan, except for the exportation carried out by the National Bank of the Republic of Kazakhstan, banks and the national postal operator

1223

Exportation of bills into the Republic of Kazakhstan, except for the exportation carried out by the National Bank of the Republic of Kazakhstan, banks and the national postal operator

1224

Exportation of checks into the Republic of Kazakhstan, except for the exportation carried out by the National Bank of the Republic of Kazakhstan, banks and the national postal operator

1311

Making insurance payments in cash

1321

Collecting insurance premiums in cash

1411

Payment of voluntary pension contributions in cash to accumulative pension funds

1421

Transfer of voluntary pension contributions in cash to accumulative pension funds

1431

Pension payments in cash from accumulative pension funds at the expense of voluntary pension contributions

1511

Receiving property under a financial lease agreement in cash

1521

Provision of property under a financial lease agreement in cash

1611

Transactions for contracting services in cash

1621

Transactions for the provision of transportation services in cash

1631

Transactions for freight forwarding in cash

1641

Transactions for storage service in cash

1651

Transactions for commission service in cash

1661

Transactions for the provision of asset trust management services in cash

1671

Transactions for the provision of other services, except for services of contracting, transportation, freight forwarding, storage, commission and asset trust, in cash

1711

Purchase of precious metals and precious stones, jewelry made of them in cash

1721

Sale of precious metals and precious stones, jewelry made of them in cash

1811

Real estate transactions, the result of which is the transfer of ownership

1911

Transactions with bonds and government securities, except for repo transactions on the organized market through open auction in cash or non-cash form

2020

Transactions with shares and units of mutual investment funds, except for repo transactions on the organized market through open auction in cash or non-cash form

2110

Pawnshops’ transactions with money, securities, precious metals and precious stones, jewelry made of them and other valuables ​​(except for national currency coins made of precious metals) in cash or non-cash form

2200

Transactions of clients who received loans under the programs for financing business entities at the expense of the National Fund of the Republic of Kazakhstan within the framework of bonded loans of quasi-public entities in cash or non-cash form

2300

Transactions related, due to their nature, to a cross-border payment of money in non-cash form from or to a client’s bank account

2301

Transactions related, due to their nature, to a cross-border transfer of money in non-cash form from or to a client’s bank account

6010

Receipt of money in the form of payment for labor leave and wages by an individual on the list of organizations and persons associated with the financing of terrorism and extremism

6020

Receipt of money in the form of a pension, business travel expenses, scholarship, allowance and another social benefit by an individual on the list of organizations and persons associated with the financing of terrorism and extremism

6030

Payments and transfers of an individual entered in the list of organizations and persons associated with the financing of terrorism and extremism for the payment of taxes, utility and social payments, other mandatory payments to the budget, penalties and fines

6040

Crediting money to the bank account of an organization or an individual entered in the list of organizations and persons associated with the financing of terrorism and extremism

6055

Crediting money to the bank account of an organization whose beneficial owner is a person on the list of organizations and persons associated with the financing of terrorism and extremism

6060

Transactions with money and (or) other property of organizations and individuals entered in the list of organizations and persons associated with the financing of terrorism and extremism on the basis of a court decision

6061

Transactions with money and (or) other property of organizations and individuals entered in the list of organizations and persons associated with financing the proliferation of weapons of mass destruction on the basis of a court decision

  Appendix 7
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects

Directory of codes of types of transactors and transactions with money and (or) other property

Code of transactor’s type

Name of transactor’s type

Code of transaction’s type

Name of transaction’s type

1

2

3

4

01

Seller

01

Contract of purchase and sale of
real estate

02

Contract of purchase and sale of a
product or service

02

Purchaser

03

Contract of purchase and sale of other property

03

Donor

04

Donation agreement

04

Done

05

Rent recipient

05

Contract for hiring (lease of) property

06

Rent payer

07

Landlord

08

Tenant

09

Lessor

06

Lease agreement

10

Lessee

11

Loan holder

07

Contract for gratuitous use of property

12

Loan recipient

13

Customer

08

Contractor agreement

14

Contractor

15

Designer

16

Prospector

17

Executor

18

Sender (transport activity)

09

Contract of carriage, freight forwarding

19

Carrier

20

Recipient (transport activity)

21

Freight forwarder

22

Lender

23

Borrower

10

Loan agreement

24

Creditor

25

Financial agent

11

Credit contract

26

Client (factoring)

27

Beneficiary

12

Factoring contract

28

Principal

29

Depositor

30

Issuer

13

Bank account agreement

14

Money transfer agreement

15

Bank deposit agreement

31

Owner

16

Another banking service agreement
 

32

Pledger

33

Pledgee

17

Pledge agreement

34

Bailee

35

Bailor

18

Contract of bailment

36

Insurer

37

Policyholder

19

Insurance contract

38

Insured person

39

Appointer

40

Attorney

20

Contract of agency

41

Consignor

21


Surety agreement

42

Commission agent

22

Commission agreement

43

Trustor

44

Trust manager

23

Contract for asset trust management

45

Titleholder

46

User

24

Agreement on transfer of patent rights

25

Agreement on creation and use of intellectual creative property

26

License or sublicense agreement on the use of an invention, utility model and/or industrial sample

47

Licensee

48

Patentee

27

Franchise agreement

49

Organizer of lottery, betting

50

Participant of lottery, betting

28

Another agreement,
deal or contract

51

Supplier

52

Manufacturer

53

Landlord

29

Deal without an underlying document

54

Employer

55

Other transactor

  Appendix 8
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects
  Form

Request for necessary information, data and documents

      In accordance with subparagraph 1) of paragraph 1 of Article 17 and paragraphs 3-1 of Article 10 of the Law of the Republic of Kazakhstan “On Counteracting the Legalization (Laundering) of Criminally Obtained Incomes and Financing of Terrorism” as of August 28, 2009,

       ____________________________________________________________________

      (authorized body)

      requests the following information, data and documents on transactions of clients and beneficial owners of clients/on international money transfers made through the money transfer system:

      1. ________________;

      2.________________.

_________________________
(Surname, name, patronymic (if any) of the authorized person of the authorized body)

__________
(signature)

____________________
(full name)

      Contact phone number:

      __________________

      Date and time of sending the request:

      __________________

  Appendix 9
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects
  Form

Notification of acceptance of the request for necessary information, data and documents

      ________________________________________________________________________

      (name of the financial monitoring subject)

      hereby notifies ____________________________________________________________

      (authorized body)

      of the acceptance of your request for the provision of the necessary information, data

      and documents on transactions subject to financial monitoring № ______

      as of __________.

_____________________________
(Surname, name, patronymic (if any) of the authorized executive of the financial monitoring subject)

_______________
(signature)

__________________
(full name)

      Date and time of acceptance of the request _________________________

  Appendix 10
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects
  Form

Response to the request for necessary information, data and documents

      In accordance with paragraphs 3-1 and 3-2 of Article 10 of the Law of the Republic of Kazakhstan “On Counteracting the Legalization (Laundering) of Criminally Obtained Incomes and Financing of Terrorism” as of August 28, 2009,

      ____________________________________________________________________

      (name of the financial monitoring subject)

      sends the following information, data* and documents in response to your request № ______ as of______________:

      1. ________________;

      2. ________________.

      The appendix has _________________ sheets.

______________________________
(Surname, name, patronymic (if any) of the authorized executive of the financial monitoring subject)

____________
(signature)

_____________________
(full name)

      Contact phone number: _____________________

      Date and time of responding: ____________________

      * statements of the client’s bank account are provided in accordance with the appendix to this form in Microsoft Excel format, other information is provided in the form determined by the financial monitoring subject independently.

  Appendix to the form
"Responding to a request
to provide the necessary
information, data and documents"

Information provided by financial monitoring subjects in response to the request of the authorized body

Date and time of the transaction

Transaction currency

Transaction types (category of the document)

Name of MTS (if any)

Amount in the transaction currency

Amount in tenge

Name/FIO of the payer

IIN/BIN of the payer

Residence of the payer

1

2

3


4

5

6

7

8









































































      continuation of the table

Payer’s bank

Payer’s account number

Name/FIO of the recipient

IIN/BIN of the recipient

Residence of the recipient

Recipient’s bank

Recipient’s account number

Payment purpose code

9

10

11

12

13

14

15

16

































































      Explanation of abbreviations:

      IIN/BIN - individual identification number/business identification number

      MTS - money transfer system

      FIO - surname, name, patronymic

  Appendix 11
to the Rules for submitting data
and information on transactions
subject to financial monitoring
by financial monitoring subjects
  Form

Application for extending the deadline for the provision of necessary information, data and documents

       ____________________________________________________________________

      (name of the financial monitoring subject)

      applies to ______________________________________________________

      (authorized body)

      for the extension of the deadline specified in the request for the provision of the necessary

      information, data and documents № _______ as of ___________ by _________

      working days.

      ____________________________________________________________________

      (justification for the extension of the deadline)

___________________________
(Surname, name, patronymic (if any) of the authorized executive of the financial monitoring subject)

_____________
(signature)

___________________
(full name)

  Appendix 2
to Order № 938
of the Minister of Finance
of the Republic of Kazakhstan
as of September 30, 2020

Signs of identifying a suspicious transaction


Code №

Signs of identifying a suspicious transaction


1

2

1. Common signs

1

1035

The client is registered (resides) or systematically performs transactions involving persons registered (residing) in a state (in the territory) that does not comply with the recommendations of the Financial Action Task Force on Money Laundering (FATF), and also using a bank account registered in such a state (territory).

2

1040

Conducting transactions with money and/or other property with the participation of non-profit organizations related to charitable activities and/or other donations (except for transactions specified in code 3003).

3

1041

Crediting of money from abroad to the accounts of non-profit organizations.

4

1046

A transaction involving a non-profit organization (excluding transactions related to the payment of taxes, other mandatory payments to the budget, penalties and fines, pension and social contributions, membership fees, utility bills, insurance premiums under compulsory insurance contracts, as well as transactions specified in the codes of signs of suspicious transactions 1040, 3002, 3003, 3004 and 1041).

5

1048

The client’s regular transfers of his/her own funds in large amounts to a bank account opened in an offshore zone.

6

1049

The foreign exchange agreement provides for the export of goods (works, services) by a resident, or payments for the import of goods (works, services) in favor of a non-resident registered in a state or territory with a preferential tax regime and (or) without disclosure and provision of information during financial transactions (in an offshore zone).

7

1050

Making a transaction (deal) by a client under the guidance of a third party and/or persons present during the transaction (deal).

8

1051

The performance of transactions (deals) by a person entered in the list of organizations and persons associated with the financing of terrorism and extremism by a court decision (except for transactions in individual pension accounts for recording compulsory pension contributions and compulsory professional pension contributions).

9

1052

The client’s performance of a transaction (transactions), which gives (give) a reason to believe it (them) to be performed for the purpose of financing the proliferation of weapons of mass destruction.

10

1053

Transfers related to the payment by a resident to a non-resident of a forfeit (penalty, fine) for a failure to perform the contract for the supply of goods (performance of works, provision of services) or for violation of the terms of the contract if the forfeit amount exceeds ten percent of the amount of undelivered goods (outstanding works, not rendered services).

11

1054

Crediting of a large amount of money to the client’s account, while the recipient has insignificant turnovers on transactions, and less than a year has passed since the date of its state registration.

12

1055

Crediting of large sums of money to the client’s account, while the recipient does not pay taxes or other obligatory payments to the budget or pays them in insignificant amounts, or has debts on loans from second-tier banks.

13

1056

Regular crediting to the client’s account and debiting from his/her/its account of approximately the same amount of money, while the financial monitoring subject has reasons to believe this (these) transaction and/or transactions are related to the activities of a pyramid scheme.

14

1057

Regular transfer of large amounts of money as dividends or profits from the accounts of legal entities and/or individual entrepreneurs in favor of individuals.

15

1058

Transfer of money in large amounts as grants, financial aid, loans or gratuitous aid, also with the involvement of non-residents not connected with business relationship.

16

3001

Transaction with money and (or) other property to (from) a country with a high risk of terrorist financing.

17

3002

Transactions with money and (or) other property related to charitable activities and (or) other donations, except for the involvement of non-profit organizations.

18

3003

Transactions with money and (or) other property with the involvement of religious non-profit organizations (except for transactions related to the payment of taxes, other mandatory payments to the budget, penalties and fines, pension and social contributions, membership fees, utility payments, insurance premiums under compulsory insurance contracts).

19

3004

The client’s performance of a transaction (transactions), which gives (give) a reason to believe it (them) to be performed for the purpose of financing terrorism and (or) extremism.

20

7002

Transactions with money and other property that are associated with the purchase and sale, transportation, manufacture, storage and sale of items related to chemical, biological and nuclear weapons and their components unless it is common for the client’s activities.

21

7003

Transactions with money and other property associated with the sale and purchase of military items, medicines unless it is common for the client’s activities.

22

7004

Transactions with money and other property associated with the sale and purchase of substances that include not only drugs, but also other synthetic and natural substances that are poisonous and potent unless it is common for the client’s activities.

23

7006

Clients, their activities, transactions or attempts to commit them that are recognized as suspicious in accordance with the internal procedures of the financial monitoring subject.

24

8002

An attempt to commit a suspicious transaction, in respect of which the financial monitoring subject has suspicions that the transaction is aimed at financing terrorism.

2. When providing services for payments and money transfers

25

1011

The resident’s indication of a repatriation period over 360 (three hundred and sixty) days under contracts for export or import (except for contracts providing for the supply of services and/or performance of construction and installation works in the territory of the Republic of Kazakhstan).

26

1017

The presence of non-standard or unusually complex instructions for the procedure for making settlements that differ from the established business practice.

27

1059

The client’s regular transfer (receipt) of money within the framework of transactions for the provision of consulting, marketing, advising, research or other intangible services, including those with the involvement of non-residents of the Republic of Kazakhstan.

28

1060

The client’s regular transfer of money to the accounts of non-residents under contracts for the import of works, services and intellectual property (marketing, consulting, advertising, research or software services), for which settlements are carried out without paying tax.

29

1061

Payments and money transfers in favor of non-residents of the Republic of Kazakhstan under an agreement for the import of goods that does not provide for the actual receipt of goods in the Republic of Kazakhstan or does not provide for the movement of goods across the territory of the Republic of Kazakhstan.

30

1062

Regular receipt of money transfers without opening bank accounts, including those with the use of electronic means of payment, to an individual client-recipient of funds from a significant number of other individuals with subsequent withdrawal of cash by their recipient.

31

7001

Payments and transfers related to raising money and (or) other property from individuals, when the client has no license to carry out activities in the financial sector and (or) activities related to the concentration of financial resources.

32

7008

Regular transfers of money abroad without opening a bank account, which give a reason to believe them to be made for the purpose of carrying out business activities.

33

7011

Receipt in the client’s favor of payments using electronic money in a large amount or repeated receipt of payments using electronic money in the absence of information on the client’s activities in the field of online commerce.

34

7012

Frequent receipt in the client’s favor of payments using electronic money from unidentified owners of electronic money (except for payments for taxes and other obligatory payments to the budget, payments for utilities, communication services, television and radio broadcasting services).

3. In case of bank servicing

35

1019

A significant increase in the share of cash credited to the account of a client that is a legal entity if non-cash settlements are usual for the client’s main activities.

36

1063

Early repayment of a large loan by a client who is a civil servant if the available information does not allow identifying the source of funds.

37

1064

Regular withdrawal from a bank account (accounts) of money and/or a significant part of money in a short period of time after it is credited, which is received for the provision of a wide range of services and (or) different types of goods, and also transferred from the client’s account in another bank.

38

4013

Regular crediting of cash to the client’s bank account from third parties with the client’s subsequent withdrawal of such money or transfer of all or most of the amount to the bank accounts of the client or third parties within one working day or the next day.

39

7013

Regular crediting of cash by the client to deposits (to be) opened in favor of third parties in the absence of an obvious connection between the activities of the client and such persons.

40

3006

The refusal of the money sender to go through the procedure for establishing sources of income, which has external signs of religiosity, regardless of sex.

41

8012

Application of an individual entered in the list of organizations and persons related to the financing of terrorism and extremism for a transaction for receiving wages in accordance with subparagraph 1) of paragraph 8 of Article 12 of the Law of the Republic of Kazakhstan “On Counteracting the Legalization (Laundering) of Criminally Obtained Incomes and Financing of Terrorism” as of August 28, 2009 (hereinafter - the Law)

42

8013

Crediting money to a bank account of a person entered in the list of organizations and persons associated with the financing of terrorism and extremism in accordance with part five of paragraph 1-1 of Article 13 of the Law..

43

1065

Transfer of own funds to a bank account of an authorized organization opened with a foreign bank registered (residing) in a state (territory) which is subject to international sanctions (embargo) adopted by resolutions of the United Nations Security Council.

44

1073

Transfer of own funds to a bank account of an authorized organization opened with a foreign bank registered (residing) in a state (territory) that does not comply and (or) insufficiently implements the recommendations of the Financial Action Task Force on Money Laundering (FATF).

45

1066

Providing a financial loan to a non-resident for a period exceeding seven hundred and twenty days without payment of remuneration.

46

1067

The client’s repeated execution of similar transactions in a short period of time, the amount of which individually does not exceed the threshold amounts of transactions subject to financial monitoring, but as a result of addition exceeds the trading amount (provided that the client’s activities are not related to serving the public, collecting mandatory or voluntary payments).

47

1068

Money transfers by a political civil servant (his/her family member and close relative) to his/her bank account opened abroad, or the purchase of real estate abroad (Register of positions of political and administrative civil servants approved by Decree № 150 of the President of the Republic of Kazakhstan as of December 29, 2015).

48

1069

Carrying out settlements under foreign economic contracts (export-import ones) on a prepayment basis, under which the delivery of goods within the terms established in such contracts (extension of the currency repatriation period) did not take place, or given information from open sources on a failure of a non-resident to fulfill his/her/its obligations under other foreign economic contracts.

49

1070

The correspondent bank refused to execute the client’s payment or sent a request for information, clarifications or documents to complete the transaction.

50

1071

Significant amounts of transfers abroad related to the “temporary export” of goods from the territory of the Republic of Kazakhstan (for repair works and maintenance).

51

1072

Money is withdrawn on a regular basis by means of corporate cards within a short period of time of its receipt.

4. When providing services on the securities market, services of pension funds

52

1099

Execution by the client or by his/her/its order of transactions with securities (financial instruments), as a result of which the owner and/or beneficial owner of these securities (financial instruments) does not change.

53

1074

Transactions for the purchase and sale of securities (financial instruments) concluded at prices that have a significant deviation from the current market prices for these securities (financial instruments). In the absence of market prices - deviation from the price of the last purchase and sale of this security (financial instrument) or from the par value of the security (financial instrument), except for the par value of shares.

54

1075

One-time sale (purchase) by a client of a large number of securities (financial instruments) (10% or more of the amount placed) that are not traded on the organized market of securities (financial instruments), provided that the client is not a professional participant in the securities market, and (or) the securities are not transferred to the client to repay the counterparty’s debt to the client.

55

7037

Opening an individual retirement account with subsequent transfer of significant amounts to it in the form of voluntary pension contributions in the name of a foreigner or stateless person or a person who has reached the age limit by the time of the conclusion of the contract or has approached it.

56

1076

Regular performance of financial transactions for the purchase and subsequent sale of securities that are not quoted and are not traded on the organized securities market, provided that the income from the sale of securities is used to purchase highly liquid assets traded on the organized securities market.

5. When providing services in the field of insurance

57

1077

Performing transactions to replace the policyholder, the insured or the beneficiary under the universal life insurance agreement, given a suspicion of the absence of (family, kinship, business or other) ties between them.

58

7026

The client’s early termination of a voluntary insurance contract for a large amount shortly after its conclusion with the return of the insurance premium, including in favor of third parties.

59

1078

Change in the amount of the insured amount with a corresponding increase in the amount of the insurance premium under the concluded endowment insurance agreement, when the amount of paid insurance premiums obviously exceeds the solvency of the insured person.

60

1098

The client enters into insurance contracts with organizations registered outside the Republic of Kazakhstan.

6. When providing notarial, auditing services

61

1079

Conclusion of a financial lease (leasing) agreement on unfavorable, economically inexpedient terms of the agreement (notaries).

62

1080

Conclusion of a lease (sublease) agreement, when the seller of the leased asset and the lessee (sublease holder) is the same person.

63

1081

Obvious discrepancy between the contractual and market value of the subject of the transaction.

7. When providing services in the field of gambling business

64

1082

Receipt (payment) of funds in a large amount from a gambling facility as winnings in a gambling game and/or for gambling bets, given suspicions or information that the client’s activities are related to the performance of state functions.

65

1083

Receipt (payment) of large funds from a gambling facility as a prize in a gambling game and/or for gambling bets, given a suspicion of collusion between employees of the gambling facility and a gambling participant, as well as between gambling participants.

8. When providing leasing services

66

1038

Early repayment of the principal debt under a lease agreement by a client who has earlier delayed the fulfillment of obligations, provided that the source of financing the debt cannot be identified using available information.

67

1084

Early termination of the lease agreement or redemption of the leased asset earlier than one year from the date of its transfer to the lessee for temporary possession and use without a ground.

68

1085

Payment of lease payments on behalf of the lessee by a third party.

9. When carrying out the activities of microfinance organizations, including credit partnerships, pawnshops

69

1086

Delivery of jewelry made of precious metals and precious stones without impressions of assay marks or with signs of false impressions of assay marks to pawnshops or buying-up centers.

70

1087

Pawning a vehicle by power of attorney without subsequent redemption.

71

1088

Regular pawning of jewelry or other valuables by the same person without subsequent redemption.

10. When buying up, buying and selling precious metals and precious stones, jewelry made of them

72

1089

Regular purchase by an individual of expensive jewelry or other household items made of precious metals and (or) precious stones (of the same type) and/or certified precious stones in a short period of time.

73

1090

Sale or purchase of precious metals and precious stones, jewelry made of them at prices significantly deviating from current market prices.

74

1091

The absence of an assay mark, as well as an imprint of a nameplate, an expert opinion, an act of state control provided for by the Law of the Republic of Kazakhstan “On Precious Metals and Precious Stones” as of January 14, 2016, when purchasing precious metals and precious stones, jewelry made of them by a person engaged in retail sale of jewelry from persons producing or importing them into the territory of the Republic of Kazakhstan.

11. When carrying out transactions of purchase and sale of real estate

75

9014

Conclusion of a transaction with real estate at a price significantly deviating from the market value.

76

1092

Multiple (three or more times) purchase and (or) sale of real estate by an individual during a calendar year.

77

1093

Execution of a transaction for the sale and purchase of real estate that is state property, the acquirer of which is a private entrepreneur and the cost of which significantly differs from the usual market value of such an item.

12. When carrying out the activities of payment institutions

78

1094

Regular transactions with money and (or) other property, in respect of which the nature, frequency, amount of the transaction, information on the payer (recipient) and other data give reason to believe that they may be associated with illegal circulation of narcotic drugs, psychotropic substances or their analogs and (or) precursors.

13. When providing postal services

79

1095

Repeated (two or more times) postal money transfers by one or more legal entities to one or several individuals on a large scale, while the nature of the transfers is not characteristic of the commercial activity of a legal entity.

80

1096

Repeated (two or more times) transactions for sending postal money orders in large amounts from several senders (individuals) to the address of one recipient in the absence of obvious signs of family ties between the senders and the recipient.

81

1097

Repeated (two or more times) payments within a short period of time of postal money orders addressed to several recipients (individuals) under a power of attorney issued to one person, while the amount of transfers does not correspond to business customs and (or) the purpose of payment.


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