04.04.2019

On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan

      Unofficial translation

      Footnote. Title - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      In accordance with paragraph 1 of Article 92 of the Administrative Procedural Code of the Republic of Kazakhstan dated June 29, 2020, subparagraph 58) of part two of Article 15 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", subparagraph 2) of paragraph 3 of Article 16 Law of the Republic of Kazakhstan dated March 19, 2010 "On State Statistics", paragraph 2 of Article 12 of the Law of the Republic of Kazakhstan dated May 16, 2014 "On Permits and Notifications", subparagraph 2) of paragraph 4 of Article 5 and paragraph 7 of Article 12 of the Law of the Republic of Kazakhstan dated 2 July 2018 "On Currency Regulation and Currency Control" the Board of the National Bank of the Republic of Kazakhstan HEREBY RESOLVES:

      Footnote. Preamble is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 49 dated 26.04.2021 (shall be enforced from July 1, 2021).

      1. Approve the attached Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan.

      Footnote. Paragraph 1 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      2. To declare to be no longer in force certain decrees of the Managing Board of the National Bank of the Republic of Kazakhstan based on the list according to the annex to this decree.

      3. The Department of Payment Balance and Currency Regulation (Kuandykov A.A.) according to the procedure established by the legislation of the Republic of Kazakhstan shall ensure:

      1) jointly with the Legal Department (Sarsenova N.V.) state registration of this decree with the Ministry of Justice of the Republic of Kazakhstan;

      2) within ten calendar days from the date of state registration of this decree, the direction of it in Kazakh and Russian languages to the Republican State Enterprise of the Right of Economic Management “Republican Center of Legal Information” of the Ministry of Justice of the Republic of Kazakhstan for official publication and inclusion in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan;

      3) posting this decree on the official Internet resource of the National Bank of the Republic of Kazakhstan after its official publication;

      4) within ten working days after the state registration of this decree, submission to the Legal Department, of information on the implementation of measures provided for in sub-clauses 2) and 3) of this clause and clause 4 of this decree.

      4. The Department of Protection of the Rights of Consumers of Financial Services and External Communications (Terentyev A.L.) shall ensure within ten calendar days after the state registration of this decree, sending of its copy for official publication in the printed periodicals.

      5. Control over execution of this decree shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Smolyakov O.A.

      6. This decree shall be subject to official publication and shall come into force from July 1, 2019.

      Chairman
of the National Bank
Ye. Dossayev

      "AGREED"

      Ministry of Finance

      of the Republic of Kazakhstan

      March 28, 2019

      "AGREED"

      Statistics Committee

      Ministry of National Economy

      of the Republic of Kazakhstan

      March 28, 2019

      "AGREED"

      Ministry of Digital Development,

      Defense and Aerospace

      Industry of the Republic of Kazakhstan

      March 29, 2019

  Approved by the decree of
the Managing Board
of the National Bank of the
Republic of Kazakhstan
dated April 4, 2019 no. 49

Rules
for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan

      Footnote. Title - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan as of December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

Chapter 1. General provisions

      1. These Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan (hereinafter -the Rules) have been developed in accordance with the laws of the Republic of Kazakhstan dated March 30, 1995 On the National Bank of the Republic of Kazakhstan, dated August 31, 1995 On Banks and Banking Activities in the Republic Kazakhstan (hereinafter - the Law on Banks), dated March 19, 2010 On State Statistics, dated April 15, 2013 On State Services (hereinafter - the Law on State Services), dated May 16, 2014 On Permits and Notifications (hereinafter - the Law on Permits), dated July 2, 2018 On Currency Regulation and Currency Control (hereinafter - the Law on Currency Regulation) and define the procedure for licensing of the authorized organizations, including qualification requirements for them, notifications by an authorized bank about the start or termination of exchange offices’ activities, requirements for activities related to the conduct of exchange transactions with foreign currency in cash, conditions of the exchange offices’ functioning and the procedure for conducting transactions for the purchase and (or) sale of fine gold in bars issued by the National Bank of the Republic of Kazakhstan (hereinafter - the National Bank), and also the forms and terms for submitting reports by authorized banks and authorized organizations.

      Footnote. Paragraph 1 as amended by Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      2. The following concepts are used in the Rules:

      1) an automated exchange office - an electronic-mechanical device belonging to a legal entity entitled to conduct exchange transactions with foreign currency in cash, and enabling, without its employee’s participation, to carry out exchange transactions by depositing cash into this device and receiving from it in cash an equivalent amount in another currency;

      2) exchange transactions - operations for the purchase, sale and exchange of foreign currency in cash, carried out through exchange offices and automated exchange offices;

      3) an exchange office - a specially equipped place for carrying out exchange transactions with foreign currency in cash, created by an authorized organization or an authorized bank that has the right to carry out exchange transactions with foreign currency in cash in the Republic of Kazakhstan on the basis of a license from the National Bank of the Republic of Kazakhstan or an authorized body for regulation, control and supervision of the financial market and financial organizations or laws of the Republic of Kazakhstan;

      4) operational cash desk of the exchange office - a specially equipped part of the exchange office premises, intended for a cashier, serving clients when conducting transactions with foreign currency in cash, as well as when buying and (or) selling refined investment gold in certified gold weighted bullion bars that meets the national standard of the Republic of Kazakhstan ST RK 2049-2010 “Gold weighted bullion bars. Technical Specifications”, issued by the National Bank of the Republic of Kazakhstan not earlier than 2017 (hereinafter – refined gold bars);

      5) hardware and software complex - a set of software and hardware that implements the functions of a cash register, providing accounting for exchange transactions, purchase and (or) sale of refined gold in bars, uncorrectable registration and non-volatile storage of information on completed exchange transactions, operations for the purchase and (or) sale of refined gold bars;

      6) airport - a complex of structures intended for the reception and departure of aircraft, air transportation services and having an airfield, an air terminal, other necessary structures and equipment for these purposes;

      7) a unified contact centre - a legal entity determined by the Government of the Republic of Kazakhstan, performing the functions of an information and reference service for providing service recipients with information on the issues of rendering public and other services, as well as to state bodies - information on the issues of rendering information and communication services;

      8) casino - a gambling establishment where gaming tables are used for organizing and conducting gambling;

      9) a service recipient - individuals and legal entities, with the exception of central state bodies, foreign missions of the Republic of Kazakhstan, local executive bodies of regions, cities of republican significance, the capital, districts, cities of regional significance, akims of districts in the city, cities of district significance, towns, villages, rural districts;

      10) a valid license - an issued or reissued license for exchange transactions with foreign currency in cash, the validity of which has not been suspended or terminated;

      11) cash foreign currency - banknotes, coins and treasury notes in circulation, accepted by foreign states as a legal tender;

      12) a legal entity entitled to carry out exchange transactions with foreign currency in cash - an authorized organization or an authorized bank entitled to carry out exchange transactions with foreign currency in cash in accordance with the license issued by the National Bank, the authorized body for regulation, control and supervision of financial market and financial organizations or the laws of the Republic of Kazakhstan;

      13) an electronic copy of a document is a document that fully reproduces the appearance and information (data) of the original document in electronic and digital form;

      14) a valid annex to the license - an issued or re-issued annex to the license for exchange transactions with foreign currency in cash, the validity of which has not been suspended or terminated;

      15) an annex to the license - an integral part of the license for exchange transactions with foreign currency in cash, containing information about the actual location of an exchange office of the authorized organization;

      16) a state service - one of the forms of implementation of certain state functions, carried out on an individual basis at the request or without the request of service recipients and aimed at realizing their rights, freedoms and legitimate interests, providing them with appropriate material or intangible benefits;

      17) state service standard - a list of basic requirements for the provision of state services, including the characteristics of the process, the form, content and result of the provision, as well as other information, taking into account the specifics of provision of state services;

      18) information system for monitoring the provision of state services - an information system designed to automate and monitor the process of rendering state services, including those rendered through the State corporation "Government for Citizens";

      19) the authorized body for assessing and controlling the quality of rendering state services - the central state body, carrying out, within its competence, the activities for assessing and controlling the quality rendering state services;

      20) checkpoint across the State Border - a territory (water area) within a railway, automobile station or station, sea or river port, international airport or airfield, as well as another specially allocated area in the immediate vicinity of the State Border with the appropriate infrastructure, on which the passage of persons, vehicles, cargo and goods is carried out;

      21) stationary retail facility - a building or part of a building (built-in, built-in-constructed, attached premises), a structure or part of a structure (built-in, built-in-constructed, attached premises), firmly connected to the ground and connected (technologically connected) to engineering networks; technical support;

      22) railway station - a complex of buildings, structures (including passenger platforms, station crossings and the territory near the station) and other types of property intended to provide the population with services for the carriage by rail and acceptance- delivery of luggage, cargo luggage, depending on the class;

      23) authorized banks - banks and organizations established in the Republic of Kazakhstan, carrying out certain types of banking operations (with the exception of authorized organizations), as well as branches of foreign banks operating in the Republic of Kazakhstan that conduct foreign exchange transactions, including on behalf of clients;

      24) authorized organizations - financial organizations of the Republic of Kazakhstan that are not banks, operating exclusively through exchange offices on the basis of a license from the National Bank of the Republic of Kazakhstan for exchange transactions with foreign currency in cash;

      25) national currency – monetary notes in the form of banknotes and coins of the National Bank of the Republic of Kazakhstan, which are in circulation and are legal tender in the territory of the Republic of Kazakhstan, as well as withdrawn or withdrawing from circulation, but subject to exchange for banknotes in circulation, money on bank accounts in monetary units of the Republic of Kazakhstan;

      26) foreign currency – monetary notes in the form of banknotes, coins that are in circulation and are legal tender on the territory of a foreign state (group of states), as well as withdrawn or withdrawing from circulation, but subject to exchange for banknotes in circulation, money on bank accounts in monetary units of foreign states (a group of states) and international monetary or accounting units;

      27) an electronic license and an electronic annex to a license - a license for exchange transactions with foreign currency in cash and an annex to a license in the form of an electronic document, drawn up and issued using information technology, equivalent to a license and an annex to a license on paper;

      28) web portal of "electronic government" - an information system that is a single window of access to all consolidated government information, including the regulatory legal framework, and to state services, services for issuing technical conditions for connecting to networks of natural monopoly entities and services of subjects of quasi-state sector provided in electronic form;

      29) electronic digital signature - a set of electronic digital symbols created by means of an electronic digital signature and confirming the authenticity of an electronic document, its ownership and the immutability of the content.

      Footnote. Paragraph 2 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      3. An authorized bank (its branch) or an authorized organization (its branch) shall submit reports to the National Bank as provided for in the Rules by using information systems in compliance with the procedures for confirming electronic digital signature.

      If it is not possible to submit reports electronically, reports shall be generated separately for each region and shall be submitted in paper form to the territorial branch of the National Bank at the location of the authorized bank (its branch), authorized organization (its branch).

      When submitting a report in different ways, the reporting date shall be considered the earliest of the dates.

      If the reporting deadline established by the Rules expires on a non-working day, then the next business day following it shall be considered the deadline for submitting a report.

      4. A legal entity entitled to carry out exchange transactions with foreign currency in cash, prior to exchange transactions, purchase and (or) sale of fine gold bullion, shall take customers due diligence measures in accordance with Article 5 of the Law of the Republic of Kazakhstan dated August 28, 2009 On Countering the Legalization (laundering) of Income Received from Crime, and the Financing of Terrorism "(hereinafter - AML Law).

      Footnote. Paragraph 4 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

Chapter 2. Qualification requirements for authorized organizations

      5. The authorized organization shall be created in organizational-legal form of the limited liability partnership.

      6. The founders (participants) (one of the founders, participants) of the authorized organization are individuals and legal entities-residents and non-residents of the Republic of Kazakhstan, with the exception of persons:

      1) who are founders, participants (one of the founders, participants) of an authorized organization in respect of which a decision was made to revoke a license for exchange transactions with foreign currency in cash, from the date of which three years have not expired;

      2) in respect of whom there is a court decision that has entered into force on the application of criminal punishment in the form of deprivation of the right to hold the position of an executive employee of a financial organization, banking and (or) insurance holding company and be a major participant (major shareholder) of a financial organization;

      3) those on the list of organizations and persons involved in financing of terrorism and extremism, in accordance with the AML Law;

      4) who were founders, participants (one of the founders, participants) of an authorized organization, in respect of which the inspection initiated by the National Bank was not completed due to the voluntary return of a valid license and a valid annex (valid annexes) to the license, from the date of which three years have not expired.

      Footnote. Paragraph 6 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      6-1. The head of an authorized organization (its branch) shall not be a person:

      1) not having higher education;

      2) included in the list of organizations and persons involved in financing of terrorism and extremism, in accordance with the AML Law;

      3) in relation to whom there is a court decision that has entered into force on the application of criminal punishment in the form of deprivation of the right to hold the position of an executive employee of a financial organization, banking and (or) insurance holding company and be a major participant (major shareholder) of a financial organization.

      Footnote. The rules are supplemented by paragraph 6-1 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      7. The authorized capital of the authorized organization shall be formed in cash in full before the legal entity applies for a license for exchange transactions with foreign currency in cash and (or) attachment to the license.

      Footnote. Paragraph 7 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      8. The minimum amount of the authorized capital of an authorized organization shall be:

      1) 100,000,000 (one hundred million) Kazakhstan tenge (hereinafter - tenge) for each exchange office (automated exchange office) located in Nur-Sultan, cities of republican scale, administrative centers of regions, cities of regional subordination;

      2) 50,000,000 (fifty million) tenge for each exchange office (automated exchange office) with a different location.

      Footnote. Paragraph 8 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      9. When an authorized organization opens an additional exchange office (automated exchange office), its authorized capital formed in cash shall be subject to increase in accordance with the requirements of clause 8 of the Rules.

      10. If the city is classified as of republican, regional scale or recognized as the administrative center of the region, the authorized organization that has an exchange office in this city shall bring the amount of the authorized capital in accordance with the requirement established by subparagraph 1) of paragraph 8 of the Rules, within six months from the date the city is classified as a city of republican, regional scale or recognized as the administrative center of the region.

      Footnote. Paragraph 10 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      11. Requirements for the premises, equipment, personnel of the exchange office (except for the automated exchange office):

      1) organization of security and arrangement of premises of the exchange office shall be carried out in accordance with the requirements established in the Rules for the organization of security and arrangement of premises of second-tier banks, branches of non-resident banks of the Republic of Kazakhstan, the National Postal Operator, legal entities whose exclusive activity is the collection of banknotes, coins and valuables, and legal entities operating exclusively through exchange offices on the basis of a license from the National Bank of the Republic of Kazakhstan for exchange transactions with foreign currency in cash, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated February 24, 2020 No. 14, registered in the Register of state registration of regulatory legal acts under No. 20075;

      2) the operating cash desk of the exchange office shall be equipped with a video surveillance system that provides recording and storage of information for 30 (thirty) calendar days on technical devices that back up the archive of video data and protect the archive from deletion and editing, while the cashier's working area and the client are located in the video surveillance visibility zone, and the corresponding devices are installed in places ensuring the absence of interference for video surveillance;

      3) the cashier's workplace shall be equipped with a hardware and software complex or a cash register and software for keeping records of exchange transactions in accordance with the requirements of the Rules, as well as technical means for determining the authenticity of banknotes, ensuring verification of banknotes in ultraviolet light (control of paper luminescence and other) and checking banknotes for the presence of magnetic marks;

      4) a cashier who has been trained in working with foreign currency in cash or who has experience in working with foreign currency in cash for at least six months.

      Footnote. Paragraph 11is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

Chapter 3. Procedure for licensing authorized organizations

      Footnote. The title of Chapter 3 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      12. To obtain a license and an annex to the license, the authorized organization shall send the following documents through the "electronic government" web portal:

      1) an electronic application for obtaining a license for exchange transactions with foreign currency in cash and annexes to the license in the form according to Annex 1 to the Rules, electronic copies of documents confirming the applicant's compliance with the qualification requirements provided for in paragraph 13 of the Rules;

      2) an electronic copy of the charter;

      3) an electronic copy of the document confirming the payment of the license fee for the right to engage in certain types of activities, except for cases of payment through the payment gateway of "electronic government";

      4) an electronic copy of a certificate of a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan on the availability of a bank account in foreign currency.

      Footnote. Paragraph 12 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      13. As confirmation of compliance with the qualification requirements, the authorized organization shall send the following documents through the "electronic government" web portal:

      1) an electronic application for obtaining a license for exchange transactions with foreign currency in cash and annexes to the license in the form according to Annex 1 to the Rules (in the case provided for in Paragraph 12 of the Rules), an electronic application for obtaining an annex to a valid license for exchange transactions with foreign currency for an additionally opened exchange office in the form according to Annex 2 to the Rules (in the case provided for in paragraph 17 of the Rules);

      2) an electronic copy of a document of a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan (including an extract on the movement of money in the client's bank accounts), confirming the crediting of money to the bank account of an authorized organization as a contribution to the authorized capital in accordance with the requirements of paragraph 8 of the Rules issued not earlier than 30 (thirty) calendar days before the date of application for obtaining a license and (or) annex to the license, or an electronic copy of the financial statements as of the first day of the month of filing an application for obtaining an annex to a valid license for exchange transactions with foreign currency in cash for an additionally opened exchange office according to the form in accordance with Annex 2 to the Rules, which confirms the compliance of the size of the authorized capital of the authorized organization with the established requirements, taking into account the additional exchange office (in the case provided for in paragraph 17 of the Rules);

      3) an electronic copy of a certificate from a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan, confirming that the cashier has completed training in working with foreign currency in cash, or an electronic copy of the document provided for in Article 13 of the Republic of Kazakhstan dated November 23, 2015 and confirming the employee’s labour activity for at least 6 (six) months as a cash foreign currency cashier (except for an automated exchange office);

      4) an electronic copy of the document disclosing the source of the contribution to the authorized capital of the authorized organization (loan agreement, property sale and purchase agreement, income statement, other documents disclosing the source of the contribution to the authorized capital of the authorized organization).

      When an authorized organization applies for an annex to a valid license for an additionally opened exchange office (automated exchange office), the document provided for in subparagraph 4) of part one of this paragraph shall be submitted if the territorial branch of the National Bank does not have information confirming the source of origin of the contribution to the authorized capital of the authorized organization taking into account the additionally opened exchange office.

      As confirmation of compliance with the qualification requirements, when opening an automated exchange office, the authorized organization shall send through the "electronic government" web portal the electronic document specified in subparagraph 1) of part one of this paragraph, electronic copies of the documents specified in subparagraphs 2) and 4) of part one of this paragraph, as well as an electronic copy of the document confirming the technical characteristics and compliance of the automated exchange office with the requirements established by paragraph 37 of the Rules.

      Footnote. Paragraph 13 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      14. The license for exchange transactions with foreign currency in cash and attachment to the license for exchange transactions with foreign currency in cash shall be issued by the territorial branch of the National Bank through the "electronic government" web portal in the Kazakh and Russian languages in accordance with the forms in Appendices 3 and 4 to the Rules.

      Footnote. Paragraph 14 as amended by Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      15. The presence of a valid attachment to a valid license shall be the basis for the functioning of an exchange office (automated exchange office) of an authorized organization. To open an additional exchange office, the authorized organization shall obtain an attachment to a valid license, issued in Kazakh and Russian in accordance with the form of Appendix 4 to the Rules.

      Footnote. Paragraph 15 as amended by Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      16. The authorized organization shall open exchange office outside the region (region, city of republican significance, capital) of the state registration of the authorized organization with a valid license and a branch of the authorized organization in the relevant region (region, city of republican significance, capital.

      In the case of opening an exchange office outside the region (region, city of republican significance, capital) of the state registration place of the authorized organization, to obtain an application for a valid license, the corresponding branch of the authorized organization shall apply to the territorial branch of the National Bank at the location of the exchange office being opened.

      17. To obtain an annex to a valid license for an additionally opened exchange office (automated exchange office), the authorized organization (its branch) shall send through the web-portal of the "electronic government" documents, confirming the compliance of the applicant with the qualification requirements, stipulated by clause 13 of the Rules.

      17-1. The list of basic requirements for the provision of the state service "Issuance of a license for exchange transactions with foreign currency in cash issued to authorized organizations" (hereinafter - the state service), including characteristics of the process, the form, content and result of the provision, as well as other information, taking into account the specifics of the provision of state services, is set in Appendix 4-1 to the Rules.

      Footnote. The rules were supplemented with paragraph 17-1 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      17-2. An employee of the territorial branch of the National Bank, authorized to receive and register correspondence, on the day of receipt of an application for a license and an attachment to a license or an attachment to a valid license (hereinafter - application) through the "electronic government" web portal shall accept, register and direct it for executive action to the unit responsible for the state services provision (hereinafter -the responsible unit).

      Upon receipt of an application after the end of working hours, on weekends and holidays in accordance with the Labor Code of the Republic of Kazakhstan dated November 23, 2015, applications shall be accepted on the next working day.

      When the service recipient files an application through the "electronic government" web portal, the status of acceptance of the request for the state service is automatically displayed in the personal account, indicating the date and time of the result receipt.

      Footnote. The rules were supplemented with paragraph 17-2 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      17-3. Within 2 (two) working days from the application registration date, a teller of the responsible unit shall check completeness of the filed documents.

      In the event of established incompleteness of the submitted documents, within 2 (two) working days from the application registration date, the responsible unit’s teller shall prepare and send a substantiated rejection of the application.

      In the established completeness of the filed documents, within 20 (twenty) working days from the date of registration of the application for obtaining a license and attachment to the license, within 10 (ten) working days from the date of registration of the application for obtaining an application to a valid license, the responsible unit’s teller shall examine the documents for their compliance with the requirements of the legislation of the Republic of Kazakhstan, prepare a draft license and attachment to the license, attachments to the valid license or a substantiated rejection.

      Footnote. The rules were supplemented with paragraph 17-3 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      17-4. Inspection of the premises, equipment of the exchange office of the authorized organization for compliance with the requirements shall be carried out by the territorial branch of the National Bank within the period provided for the issuance of a license for exchange transactions with foreign currency in cash and (or) attachment to the license.

      Footnote. The rules were supplemented with paragraph 17-4 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      17-5. On the "electronic government" web portal, the result of the state service provision shall be sent to the service recipient’s personal account as an electronic document certified by the electronic digital signature of an authorized person.

      Footnote. The rules were supplemented with paragraph 17-5 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
      18. Excluded by Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      19. The authorized organization applies to the territorial branch of the National Bank through the “electronic government” web portal for reissuing a valid license in the following cases:

      1) reorganization of an authorized organization in the form of a merger, accession;

      2) change of the name and (or) place of state registration of the authorized organization;

      3) changes in the name of the type of activity of the authorized organization.

      The authorized organization (its branch) applies to the territorial branch of the National Bank through the “electronic government” web portal for reissuing a valid application to a valid license in the following cases:

      1) re-issuance of a valid license for exchange transactions with foreign currency in cash;

      2) changing the address of location of the exchange office without its physical relocation.

      Reissuance of a license and (or) an annex to a license shall not be carried out in the cases specified in subparagraph 2) of part one and subparagraph 2) of part two of this paragraph, if the place of state registration of the authorized organization, the address of location of the exchange office of the authorized organization have changed due to a change of settlements names, street names in accordance with the requirements of the Law of the Republic of Kazakhstan dated December 8, 1993 "On the administrative-territorial structure of the Republic of Kazakhstan".

      An electronic application for reissuing a license for exchange transactions with foreign currency in cash and (or) an annex to the license for exchange transactions with foreign currency in cash in the form according to Annex 5 to the Rules shall be sent through the e-government web portal within 30 (thirty) calendar days from the date of occurrence of changes that served as the basis for reissuing a valid license and (or) a valid annex to the license.

      Footnote. Paragraph 19 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      19-1. To reissue a valid license and (or) a valid attachment to the license, the authorized organization shall file the following documents through the e-government web portal:

      1) an electronic application for renewal of the license for exchange transactions with foreign currency in cash and (or) attachment to the license for exchange transactions with foreign currency in cash in accordance with the form of Appendix 5 to the Rules;

      2) electronic copies of documents containing information on changes that constitute the ground for reissue of a license and (or) attachment to a valid license, with the exception of documents, information from which is contained in state information systems;

      3) an electronic copy of the document confirming the paid license fee for the right to engage in certain types of activities, except for cases of payment through the "electronic government" payment gateway (in case of renewal of a valid license for exchange transactions with foreign currency in cash).

      Footnote. The rules were supplemented with paragraph 19-1 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      19-2. At reissue of a valid license and (or) a valid attachment to the license, within 2 (two) working days from the application registration date, a teller of the responsible unit shall check completeness of the filed documents for reissue of the license and (or) attachment to the license.

      In the event of established incompleteness of the submitted documents, the responsible unit’s teller shall prepare and send a substantiated rejection of the application within the term indicated in part one of this paragraph.

      In the established completeness of the filed documents, within 10 (ten) working days from the date of registration of the application for reissue of a license and (or) attachment to the license, the responsible unit’s teller shall examine the documents for their compliance with the requirements of the legislation of the Republic of Kazakhstan, prepare a draft license and attachment to the license, or a substantiated rejection.

      On the "electronic government" web portal, the result of the state service provision shall be sent to the service recipient’s personal account as an electronic document certified by the electronic digital signature of an authorized person.

      Footnote. The rules were supplemented with paragraph 19-2 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      19-3. Information on the state service progress is updated automatically in the information system of the state services provision monitoring.

      Footnote. The rules were supplemented with paragraph 19-3 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      19-4. The grounds for refusal to issue, reissue a license and (or) an annex to it shall be:

      1) failure to submit documents and (or) information provided for in paragraph 4 of Article 12 of the Law on Currency Regulation and paragraph 1 of Article 32 of the Law on Permits, as well as failure to submit documents provided for in paragraph 8 of Annex 4-1 to the Rules;

      2) non-compliance of the applicant and (or) submitted documents and (or) information with the requirements established by paragraph 4 of Article 12 of the Law on Currency Regulation and paragraph 1 of Article 32 of the Law on Permits.

      Footnote. The rules were supplemented with paragraph 19-4 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      19-5. Appeal against decisions, actions (inactions) of the territorial branch of the National Bank and (or) its officials on the issues of rendering state services shall be made in written (paper and (or) electronic) form. A complaint in electronic form shall be submitted through the e-government web portal.

      The complaint shall be submitted by the service recipient to the territorial branch of the National Bank no later than three months from the day when he/she became aware of the decision.

      If, for a good reason, the period established by part two of this Paragraph is missed, this period shall be restored by the National Bank at the request of the service recipient.

      In order to restore the missed deadline for filing a complaint, the National Bank recognizes illness, force majeure circumstances as good reasons.

      The missed deadline for appeal is not a ground for refusal to accept the complaint by the National Bank. The reasons for missing the deadline are clarified when considering the complaint and are one of the grounds for refusing to satisfy the complaint.

      The territorial branch of the National Bank, no later than the next working day of receipt of the complaint shall send it for consideration to the subdivision of the National Bank responsible for the quality of rendering state services.

      The complaint of a legal entity shall indicate its name, postal address, outgoing number and date of filing the complaint. The appeal shall be signed by the service recipient.

      Confirmation of acceptance of a complaint in paper form shall be its registration (stamp, incoming number and date) in the office of the territorial branch of the National Bank, indicating the name and initials of the person who accepted the complaint, the date and place of receipt of a response to the complaint filed. Confirmation of the acceptance of the complaint in electronic form shall be the receipt in the personal account of the user of the web portal of "electronic government" of the notification on registration of the appeal indicating the date of registration and the registration number assigned by the territorial branch of the National Bank.

      The complaint of the service recipient regarding the issues of rendering state services, received by the territorial branch of the National Bank shall be considered within 5 (five) working days from the date of its registration.

      Footnote. The rules were supplemented with paragraph 19-5 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced from July 1, 2021).

      19-6. In the event of disagreement with the rendered state service results, the service recipient shall file a complaint with the authorized body for the assessment and control over the state services provision quality.

      The service recipient's complaint addressed to the authorized body for the assessment and control over the state services provision quality shall be considered within 15 (fifteen) working days from its registration date.

      In case of disagreement with the results of the rendered state service, the service recipient can apply to the court in accordance with the procedure established by the legislation of the Republic of Kazakhstan.

      Footnote. The rules were supplemented with paragraph 19-6 in accordance with Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
      20. Excluded by Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).
      21. Excluded by Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      22. The authorized organization, within 10 (ten) working days from the date of the record registration (re-registration) of its branch with the justice bodies shall notify in writing thereof the territorial branch of the National Bank at the place of state registration of the authorized organization with a copy of a certificate of the record registration (re-registration) of the branch of the authorized organization.

      23. The authorized organization shall notify in writing the territorial branch of the National Bank of a change in the amount of the authorized capital formed in cash and (or) the composition of the founders (participants) no later than 10 (ten) working days from the date of registration and (or) a notification of the justice bodies with provision of copies of the new edition of the charter or changes and (or) additions made to the charter (notarized if originals are not submitted for verification), as well as a document confirming the notification of justice bodies by the authorized organization.

      In case of an increase in the amount of the authorized capital, the documents specified in sub-clauses 2) and 4) of clause 13 of the Rules shall be submitted.

      Information about founders (participants) of the authorized organization shall be submitted in form according to annex 6 to the Rules, if the composition of founders (participants) and (or) the amount of the authorized capital, formed in monetary terms.

      24. An authorized organization (its branch) within 10 (ten) working days from the date of the decision to increase the number of operating cash desks of the exchange office in the exchange office shall notify the territorial branch of the National Bank in writing with a copy of the relevant decision.

      25. The valid license and (or) the valid annex to the license shall terminate its validity in cases stipulated by article 35 of the Law on Permissions.

      26. In case of voluntary liquidation or refusal to carry out exchange transactions with foreign currency in cash, the authorized organization, within 10 (ten) working days from the date of the decision, shall notify the territorial branch of the National Bank about the decision in writing or through the “electronic government” web portal with a copy of the relevant decision attached.

      In the event of voluntary termination of its branch, the authorized organization within 10 (ten) business days from the date of adoption of the relevant decision in writing or through the web portal of "electronic government" shall notify the territorial branch of the National Bank at the place of registration of the branch terminating activities, with a copy of the relevant decision attached.

      When the exchange office is closed, the authorized organization (its branch) within 10 (ten) working days from the date of closing the exchange office, in writing or through the “electronic government” web portal shall notify the territorial branch of the National Bank of the decision taken.

      Footnote. Paragraph 26 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      27. In the event of suspension or deprivation of an authorized organization of the valid license and (or) valid attachment to the license, the decision to revoke (suspend) the license for exchange transactions with foreign currency in cash and (or) attachment to the license for exchange transactions with foreign currency in cash shall be drawn up according to the form in Appendix 7 to the Rules and approved by the head of the territorial branch of the National Bank.

      A copy of the relevant decision of the territorial branch of the National Bank shall be brought to the authorized organization’s attention on the day the decision is made.

      From the moment of receiving a copy of the relevant decision of the territorial branch of the National Bank and by the end of the term specified in the decision of the territorial branch of the National Bank, the authorized organization shall suspend:

      1) the activities of all exchange offices belonging to it - in case of suspending a valid license;

      2) the activity of the exchange office - in case of suspending a valid attachment to the license.

      Footnote. Paragraph 27 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

Chapter 4. Procedure for notification by an authorized bank of the beginning or
termination of activities of exchange offices

      28. An authorized bank (its branch) opens exchange offices (automated exchange offices) only within the region (oblast, city of republican significance, capital) of the location of an authorized bank (its branch), with the exception of a branch of an authorized bank located in the capital or city of republican significance, which opens exchange offices (automated exchange offices) within the region adjacent to the capital or city of republican significance.

      Footnote. Paragraph 28 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      29. When opening or closing an exchange office (automated exchange office), an authorized bank (its branch) shall send a notification to the territorial branch of the National Bank about the beginning or termination of activity of an exchange office of an authorized bank in the form in accordance with annex 8 to the Rules.

      The territorial branch of the National Bank within 3 (three) working days from the day of notification shall confirm its receipt to the authorized bank by sending written confirmation in the form according to annex 9 to the Rules.

      30. Notification of the beginning of the exchange office shall be carried out by the authorized bank no later than the start date of operations by the exchange office and is confirmation of the authorized bank that the opened exchange office meets the requirements of the Rules.

      A notification on the termination of the activity of the exchange office shall be sent on the next business day after the last transaction by the exchange office.

      31. In case of a change in the previously submitted notification, including when errors were revealed in the notification of the start of the exchange office of information or data required to be filled in the notification, the authorized bank (its branch) within 10 (ten) working days from the day of the changes shall sent to the territorial branch of the National Bank a notice on the beginning or termination of the exchange office of an authorized bank in the form according to annex 8 to the Rules.

      32. A notification on the beginning or termination of the activity of the exchange office, as well as on changes in the information specified in the notification on the beginning of the activity of the exchange office, shall be submitted electronically through the web-portal of the "electronic government".

Chapter 5. Requirements for activities on conducting exchange transactions with foreign currency in cash

      Footnote. The title of Chapter 5 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      33. A legal entity entitled to conduct exchange transactions with foreign currency in cash, shall ensure that in the exchange office activities, the requirements for the premises, equipment, and personnel of the exchange office (except for the automated exchange office) established by paragraph 11 of the Rules are met.

      Footnote. Paragraph 33 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      33-1. To conduct exchange transactions with foreign currency in cash, the authorized organization shall ensure daily availability of cash in tenge or foreign currency on its bank accounts and (or) at the cash desk of the exchange office, as well as fine gold bars (if any) in the amount of at least 100 (one hundred) percent of the minimum authorized capital.

      Calculation of the equivalent amount of money in foreign currency held in bank accounts and (or) at the cash desk of the exchange office of the authorized organization, in tenge shall be made at the market exchange rate.

      Footnote. Rules supplemented by paragraph 33-1 in accordance with Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      33-2. The working hours of exchange offices (automated exchange offices) shall be determined by the legal entity entitled to conduct exchange transactions with foreign currency in cash, independently within the time frame from 9:00 a.m. to 8:00 p.m., with the exception of exchange offices (automated exchange offices) installed inside the buildings of railway stations, casinos, inside air terminals of international airports, and also on the territory of automobile, sea and river checkpoints across the State border of the Republic of Kazakhstan.

      The working hours of exchange offices (automated exchange offices) installed in the buildings of stationary retail facilities of the 1st (first) category shall be determined by the legal entity entitled to conduct exchange transactions with foreign currency in cash, independently within the time frame from 9:00 a.m. to 10:00 p.m.

      Footnote. Rules supplemented by paragraph 33-2 in accordance with Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); as amended by Resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      34. The exchange office shall not carry out exchange operations if, as a result of circumstances (technical failure, breakdown or other reasons), the premises of the exchange office, equipment for the functioning of the exchange office and (or) the exchange office personnel do not meet the requirements of clause 11 of the Rules.

      35. In the event of a temporary suspension of an exchange office activity on the initiative of a legal entity entitled to conduct exchange transactions with foreign currency in cash (of its branch) for a period of more than 30 (thirty) calendar days, and also resumption of an exchange office’s activity, the legal entity (its branch) within 5 (five) working days from the date of the decision to suspend or resume the exchange office’s activity, shall notify the territorial branch of the National Bank at the location address of the exchange office in writing, attaching a copy of the said decision.

      The period of temporary suspension of an exchange office activity on the initiative of a legal entity entitled to conduct exchange transactions (its branch) cannot exceed 12 (twelve) consecutive months.

      Footnote. Paragraph 35 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      36. It is allowed to equip the premises of the exchange office with several operating cash desks of the exchange office.

      37. When making an exchange transaction, an automated exchange office shall ensure the function of verification of authenticity of banknotes in the following ways:

      verification of compliance of the visible image on both sides of the national currency of the Republic of Kazakhstan banknote with the official description posted on the official Internet resource of the National Bank;

      checking for the presence of ferromagnetic components in the series and numbers printed with special ink;

      banknote verification in ultraviolet light (paper luminescence control and other).

      38. The combination of conducting exchange transactions and other banking transactions conducted by an authorized bank in accordance with banking legislation, shall be allowed in an exchange office located in the premises of an authorized bank (its branch), if there is a hardware and software complex that allows accounting of exchange operations separately from other banking operations.

      39. In each exchange office, the following information shall be placed prominently for viewing by the customers:

      1) a copy of the license for exchange transactions with foreign currency in cash in the Kazakh and Russian languages, except for cases when obtaining of a license is not required in accordance with part two of paragraph 5 of Article 30 of the Law on Banks;

      2) for authorized organizations - a copy of the valid attachment to the valid license issued by the territorial branch of the National Bank for this exchange office;

      3) for authorized banks - a copy of the written confirmation of the territorial branch of the National Bank (for exchange offices that received such confirmation), or a copy of the certificate of the exchange office (for exchange offices that received the certificate of the exchange office before the Rules were enacted);

      4) the working hours of the exchange office;

      5) an information stand for customers (at least 0.4 meters high and 0.4 meters wide), containing information on the purchase rate and (or) the sale rate of the foreign currency in cash in tenge, established for each foreign currency with which purchase and (or) sale operations are carried out in the exchange office.

      It shall be allowed to place information on the purchase rate and (or) the sale rate of the foreign currency in cash for tenge on the monitor of an automated exchange office.

      6) information for the exchange office clients in accordance with the form in Appendix 10 to the Rules, containing data on the territorial branch of the National Bank that supervises the exchange office activities, and on the possibility of filing a complaint to this territorial branch of the National Bank if there are objections to the work of this exchange office;

      7) information on the main features of banknotes fit for circulation and unfit for circulation, on the procedure and conditions for accepting non-payment or unfit for circulation banknotes of foreign currency for collection (with the exception of an automated exchange office);

      8) a copy of the National Bank's act establishing divergence limits of the purchase rate from the sale rate of foreign currency for tenge on transactions carried out through exchange offices during the period of validity of such an act;

      9) information on the teller (full name), providing customer service (except for an automated exchange office).

      Footnote. Paragraph 39 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      40. The following documents shall be stored in the exchange office premises (with the exception of the automated exchange office):

      1) a copy of the order of the head of the legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch) on the acceptance and (or) appointment of the relevant person to the position of a teller;

      2) a copy of the document confirming that the exchange office teller completed special training for working with foreign currency in cash, or a copy of the document confirming the experience of the exchange office teller with foreign currency in cash for at least 6 (six) months;

      3) a copy of the exchange office teller’s ID;

      4) a copy of the internal control rules of the legal entity entitled to conduct exchange transactions with foreign currency in cash, developed and adopted in accordance with the requirements of Article 11 of the AML Law, with a note on the exchange office teller’s familiarization with these rules.

      In the premises of the authorized organization’s exchange office (its branch), additionally a document shall be stored with sample signatures of the head and other persons entitled to issue orders on the establishment of purchase, sale and cross-rates, a copy of the registration card of the cash register and a copy of the contract with the authorized bank indicated in paragraph 55 of the Rules.

      Footnote. Paragraph 40 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      41. Unauthorized persons shall not be allowed in the premises of the operating cash desks of exchange offices.

      Cashiers' own money and other items shall be kept in a specially allocated room or cabinets located outside the premises of the operating cash desk of the exchange office.

Chapter 6. Conditions of exchange offices operation

      Footnote. The title of Chapter 6 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      42. Transactions for the purchase and (or) sale of cash foreign currency in accordance with the purchase and sale rates established on the basis of the rate-setting order shall be carried out in exchange offices.

      The order on the establishment of rates shall contain purchase and sale rates for all types of currencies with which exchange operations are carried out at the exchange office, indicating the date and time (specified in hours and minutes) of the beginning of this order.

      In one order on the establishment of exchange rates, it shall be allowed to establish simultaneously different exchange rates depending on the amount of exchange transactions.

      43. The order on the establishment of rates shall be issued by the head of the legal entity entitled to carry out exchange transactions with foreign currency in cash (its branch) or by another person who has been granted such powers, with the obligatory indication of the number, date and time (in hours and minutes) of its issuance.

      Transfer of the authority of the head of the authorized organization to another person to issue orders for setting rates shall be made solely by the order of the head of the authorized organization.

      Footnote. Paragraph 43 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      44. The order on establishing the rates shall be issued in electronic form (hereinafter -electronic order) if a legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch) uses a hardware and software complex, which provides for:

      centralized communication to exchange offices of electronic orders on setting the rates;

      the ability to identify the person who issued the electronic order;

      storage of electronic orders for 3 (three) years.

      The order on establishing the exchange rates in paper form shall be issued in one copy if the exchange office is at the location of the legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch). In other cases, one copy of the order on setting rates shall remain with the legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch) and, a copy of the order shall be sent to each exchange office for which such an order was issued.

      These copies of orders shall be stored for 3 (three) years.

      Footnote. Paragraph 44 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      45. Change in the purchase and sale rates of the foreign currency in cash shall be made solely on the ground of the issuance of a new order on establishing the rates. In this event, from the commencement of the new order on setting the rates, the previous order shall be canceled.

      If the order on establishing the rates is issued for the purpose of changing the purchase and (or) sale rates for certain types of currencies on which exchange transactions are conducted in the exchange office, then the issued order on establishing the rates shall contain information both on the changed purchase and (or) sales rates, and on other purchase and selling rates for the exchange office.

      It shall be allowed to establish different rates in different exchange offices of one legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch).

      Footnote. Paragraph 45 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      46. Over the entire period of validity of the order on the establishment of rates for all types of currencies with which exchange operations are carried out at the exchange office, the information stand for customers shall display the purchase and (or) sale rates of currencies indicated in this order.

      47. The National Bank shall establish the limits of deviation of the purchase rate from the foreign currency sale rate for tenge for operations conducted through exchange offices.

      The deviation of the purchase rate from the rate of sale of foreign currency for tenge shall be determined as the difference between the rate of purchase of a unit of foreign currency in national currency and the rate of sale of a unit of foreign currency in national currency established for the exchange office on the basis of a written order of an official of an authorized bank or authorized organization.

      For foreign currencies, the exchange quotation of the exchange rate at which is set in tens (hundreds, thousands) of foreign currency units, the deviation of the purchase rate from the selling rate of foreign currency for the national currency shall be determined as the difference between the purchase rates and selling rates of ten (hundreds, thousands) units of foreign currency in national currency, respectively.

      48. The limit of deviation of the purchase rate from the rate of sale of foreign currency for tenge for transactions conducted through exchange offices shall be established in the form of the maximum permissible difference expressed in tenge between the rate of sale and the rate of purchase of foreign currency for tenge.

      49. Each exchange transaction carried out at the exchange office, including through an automated exchange office, after its completion shall be recorded in the journal of registers of purchased and sold cash foreign currency, which is maintained in electronic form, contains all the details and indicators established in the journal of registers of purchased and sold foreign currency in cash according to the form in accordance with Annex 11 to the Rules (hereinafter- the journal of registers).

      The journal of registers shall be kept separately in each operating cash desk of the exchange office and in each automated exchange office in the hardware and software complex. A legal entity that has the right to carry out exchange transactions with foreign currency in cash shall ensure the storage in the hardware and software complex of information on completed exchange transactions, reflected in the journal of registers, for 5 (five) years from the date of their completion.

      For authorized organizations, it is allowed to keep a journal of registers in electronic form using software, taking into account the requirements of this paragraph.

      Footnote. Paragraph 49 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      50. In case of a change in the purchase rate and (or) sale within the working hours of the exchange office on the basis of the order on the establishment of rates in the journal of registers, an intermediate result for the volumes of purchased and sold cash in foreign currency shall be summarized before the start of operations at the new rate of purchase and (or) sale of foreign cash currencies. After the end of the working day of the exchange office, the results of operations carried out during the working day shall be reflected in the journal of registers.

      51. For exchange transactions carried out through exchange offices (including automated exchange offices), for an amount exceeding the equivalent of 500,000 (five hundred thousand) tenge at the exchange rate of exchange transaction, the journal of registers shall record:

      surname, name and patronymic of the client (if any) (name and patronymic are indicated in full);

      individual identification number of the client (if any);

      data of the identity document of the client - type of document, date of issue, document number, validity period;

      legal address of the client.

      For exchange transactions carried out through exchange offices (including automated exchange offices), for an amount not exceeding the equivalent of 500,000 (five hundred thousand) tenge at the exchange rate, surname, name and patronymic (if any) shall be recorded in the journal of registers (name and patronymic are indicated in full) and the individual identification number of the client (if any).

      Fixation of the client's data, with the exception of the client's legal address, in the registry journal shall be carried out on the basis of the data of the client's identity document.

      Footnote. Paragraph 51 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      52. The exchange of one foreign currency to another in the jurnal of registers and in the preparation of the reporting forms provided for in the Rules shall be reflected in the form of two transactions:

      purchase by an exchange office of one foreign currency for tenge at the rate of purchase of this type of currency by this exchange office;

      sale by an exchange office of another foreign currency for tenge at the rate of sale of this type of currency by this exchange office.

      53. There are no restrictions on the acceptance of banknotes in circulation by face value and years of issue when carrying out exchange transactions, and individuals shall not be refused to carry out an exchange transaction if there is cash foreign and cash national currency in the exchange office in the amount necessary for carrying out exchange transaction, except for the cases provided for in Article 13 of the AML CFT Law, or failure to provide a document proving the identity of the client, in accordance with part three of paragraph 51 of the Rules.

      If an individual refuses to conduct an exchange transaction due to the lack of cash national or foreign currency in the exchange office, for which the purchase and (or) sale rates were set at the exchange office, at the request of the individual, the cashier of the exchange office shall issue a certificate in any form indicating the type and amount of the currency that is not available at the exchange office, the date and time of issuance of the certificate. The certificate shall be signed by the cashier of the exchange office and registered in accordance with the procedure established by the internal rules of the legal entity entitled to carry out exchange transactions with foreign currency in cash (its branch).

      Footnote. Paragraph 53 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      54. The exchange office (automated exchange office) confirms the exchange transaction by issuing a control check in accordance with subparagraph 2) of paragraph 5 of Article 166 of the Code of the Republic of Kazakhstan dated December 25, 2017 "On taxes and other obligatory payments to the budget" (Tax Code) (hereinafter - Tax code).

      Footnote. Paragraph 54 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04. 2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      55. Replenishment of the cash desk of the exchange office of the authorized organization with cash in national and (or) foreign currency shall be carried out through transactions with individuals, on the basis of an agreement with an authorized bank for the purchase of non-cash foreign currency or on the basis of an agreement concluded with an authorized bank with an authorized organization in accordance with sub-clause 11) of clause 1 of article 7 of the Law on currency regulation the agreement for purchase of foreign currency in cash.

      56. A legal entity entitled to conduct exchange transactions with foreign currency in cash shall independently decide on conduct of transactions on purchase, sale and exchange of coins of foreign states (group of states).

      Footnote. Paragraph 56 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      57. No commission fee shall be charged for the purchase and (or) sale of foreign currency in cash, which is legal means of payment in the issuer's country, as well as for the exchange of foreign currency in cash from earlier years of issue to foreign currency in cash from later years of issue.

      58. The main features of legal currency shall include the presence on the banknote of the name of the bank of issue, the number and series, denomination in digits and words, the main design on the front and reverse sides, as well as anti-counterfeiting elements (watermark, magnetic marks, colored fibers embedded in the paper, including UV-visible chads, security threads, microtext, luminescent designs and other anti-counterfeiting elements).

      The country that issued the currency may establish other or additional requirements for the issued banknotes.

      The legal entity entitled to conduct exchange transactions with foreign currency in cash (its branch) shall independently acquire reference and information materials to determine the authenticity and fitness for the use of the banknotes from persons involved in the replication of this type of product.

      Footnote. Paragraph 58 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      59. Legal means of payment eligible for circulation shall be recognized the banknotes of foreign currency having the following damage:

      1) scuffs and dirtying to a small extent, allowing to determine the image of a banknote of foreign currency;

      2) having glued torn corners or pieces (with an area of not more than 1 (one) square centimeter), if the torn parts, unconditionally belong to the same banknote of foreign currency;

      3) having no more than 3 (three) tears (including glued), not exceeding 1 (one) centimeter in width, 4 (four) centimeters in length, diagonal of a foreign currency banknote;

      4) having small oil and other spots, inscriptions and fingerprints of stamps (no more than 2 (two) stamps, inscriptions, other than stamps indicating the repayment of a foreign currency banknote or that the foreign currency banknote is not genuine or a model) if they do not interfere determination of the authenticity of foreign currency banknotes and do not overlap more than 50 (fifty) percent of the signs specified in clause 58 of the Rules;

      5) having no more than 2 (two) punctures with a hole diameter of not more than 1 (one) millimeter.

      60. Banknotes of foreign currency shall be deemed ineligible for circulation if they do not meet the requirements specified in clause 59 of the Rules, and (or) have the following damage:

      1) torn in parts (including glued);

      2) changed the original color or bleached;

      3) fired or burned through;

      4) drenched in full or to a large extent (more than 50 (fifty) percent with color, ink, oil of 1 (one) of the main features of eligible for circulation legal means of payment;

      5) exposed to external influences led to paper luminescence in ultraviolet rays;

      6) having significant intentional damage (basic drawings, in particular, portraits of people, a protective thread, the presence of significant inscriptions, including those visible in ultraviolet rays, more than 2 (two) fingerprints and stamps indicating the repayment of a foreign currency banknote or, that a foreign currency banknote is not genuine or a sample of more than 2 (two) punctures with a hole diameter of more than 1 (one) millimeter);

      7) banknotes of foreign currency having an obvious printed defect (absence or improper arrangement of a watermark or security thread, unprinted or blurred images);

      8) changed the geometric dimensions by more than 3 (three) millimeters, both in the direction of decreasing, and and in the direction of increasing;

      9) having significant scuffs and (or) dirtying, led to the loss of the image of foreign currency banknotes;

      10) foreign currency banknotes that are significantly loosened and (or) have lost stiffness.

      Banknotes of foreign currency withdrawn from circulation after the date announced by the issuing bank of the corresponding foreign state shall be recognized as non-payment.

      61. The purchase and replacement of non-payment as well as ineligible for circulation foreign currency banknotes shall be carried out by authorized banks having correspondent relations and (or) contractual relations with foreign banks for collection operations with relevant foreign currencies.

      Authorized banks may not sell to customers authorized banks non-payment or unusable foreign currency banknotes purchased and accepted in replacement order. These banknotes shall be sent for collection to issuing banks (foreign banks) or shall be collected for collection through their serving banks.

      In case of acceptance for collection of non-payment or ineligible for circulation foreign currency banknotes through their exchange points, authorized banks shall warn customers about the amount of commission fee (including all customer expenses) and the possibility of refusal by the issuing banks (foreign banks) to exchange the said foreign currency banknotes, as well as shall receive written consent from the customer for the conditions of collection. In case of refusal of the issuing bank (foreign bank) in the exchange of the sent foreign currency, the authorized banks shall provide the customer with relevant supporting documents.

      The commission fee fee charged for the replacement, purchase, acceptance for collection of non-paying or unusable foreign currency banknotes shall be established by authorized banks independently, but should not exceed 10 (ten) percent of the nominal value of foreign currency banknotes presented for exchange (purchase, acceptance for collection).

Chapter 7. Procedure and terms for filing reports by a legal entity entitled to conduct exchange transactions with foreign currency in cash

      Footnote. The title of Chapter 7 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      62. An authorized bank (its branch) monthly, by the 7th (seventh) day (inclusive) of the month following the reporting month, shall submit to the National Bank or the territorial branch of the National Bank a form designed to collect administrative data, “Report on exchange transactions conducted through exchange offices" stipulated by annex 12 to the Rules.

      63. An authorized organization (its branch) monthly, by the 7th (seventh) day (inclusive) of the month following the reporting month, shall submit to the National Bank or territorial branch of the National Bank a form intended for the collection of administrative data, “Report on the movement of foreign currency and exchange operations conducted through exchange offices, "according to annex 13 to the Rules.

      64. An authorized bank (its branch), an authorized organization (its branch) every month by the 10th (tenth) day (inclusive) of the month following the reporting month, shall submit to the National Bank or the territorial branch of the National Bank a form designed to collect administrative data, “Report on the purchase and (or) sale of cash foreign currency in an amount equal to or greater than 50,000 (fifty thousand) United States dollars equivalent, "according to annex 14 to the Rules.

      65. In the case of temporary suspension of activities of all available exchange points at the initiative of an authorized organization (its branch) for a period of more than 30 (thirty) calendar days, the submission of reports provided for in clauses 63, 64 and 75 of the Rules shall not be required, provided that there are no transactions carried out within the entire reporting period and sending notifications in accordance with the prcedure prescribed by clause 35 of the Rules.

Chapter 8. Procedure for the purchase and (or) sale of fine gold bars issued by the National Bank

      Footnote. The title of Chapter 8 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      66. An authorized organization shall carry out transactions for the purchase and (or) sale of the fine gold bullion bars through its exchange offices in accordance with the procedure stipulated by the Rules.

      Replenishment of the cash desk of the exchange office of an authorized organization with refined gold bullion bars shall be carried out through transactions of the purchase of the fine gold in bullion bars from individuals and through the purchase of the fine gold in bullion bars from the National Bank on the basis of the corresponding sales contract.

      An authorized organization engaged in the purchase and (or) sale of the fine gold in bullion bars through its exchange offices shall place information on the purchase price and (or) sale of such bullion bars on the information stand.

      67. When buying and (or) selling of the fine gold in bullion bars, the authorized organization shall check the integrity of the special packaging and protective elements of the fine gold in bullion bars using a technical tool that provides control of luminescence in ultraviolet light, as well as using an optical device that provides no less than 10 (ten) fold increase.

      68. The purchase from individuals of the fine gold in bullion bars and (or) the sale to individuals of the fine gold in bullion bars shall be carried out at the cost established by the authorized organization in the order on the establishment of the value of the fine gold in bullion bars. The order for setting the value of the fine gold in bullion bars shall be issued by the head of the authorized organization or by another person who has been granted such powers, with the obligatory indication of the number, date and time (determined in hours and minutes) of its issuance.

      The transfer of powers of the head of the authorized organization to issue orders on the establishment of the cost of the fine gold in bullion bars to another person shall be carried out only on the basis of the order of the head of the authorized organization.

      69. Information on the cost of buying and (or) selling of the fine gold in bullion bars, established by the order on setting the value of the fine gold in bullion bars, shall be available on the information stand for customers within the entire period of its validity.

      If there is no cash desk of the fine gold in bullion bars exchange office, information on the cost of their sale shall not be posted on the information stand of the authorized organization. If there is no cash in the national currency exchange office at the cash desk, information about the purchase price of the fine gold in bullion bars shall not be posted on the information stand of the authorized organization.

      70. There are no restrictions on the acceptance of refined gold in bars by varieties, and also there is no refusal to individuals to conduct transactions for the purchase and (or) sale of such bars if there is a cash national currency in the amount required for such an operation and (or) refined gold in bars in the amount of necessary for carrying out such an operation, except for the cases provided for in Article 13 of the AML Law, or failure to provide a client's identity document in accordance with part five of paragraph 73 of the Rules.

      Footnote. Paragraph 70 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      71. In case of refusal to an individual to buy the fine gold in bullion bars due to the lack of cash in the national currency at the exchange office and if any on the information stand of the authorized organization information on the purchase price of such gold, a cashier at the request of the individual will issue a certificate in any form indicating the variety of such gold, its value in accordance with the decree on establishing the value of the fine gold in bullion bars and the amount in national currency not available in the exchange office, date and time of issue edits. The certificate shall be signed by the cashier of the exchange point of the authorized organization and registered in the manner prescribed by the internal rules of the authorized organization.

      72. The exchange office of an authorized organization confirms the purchase and (or) sale of refined gold in bars by issuing a control check in accordance with subparagraph 2) of paragraph 5 of Article 166 of the Tax Code.

      Footnote. Paragraph 72 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      73. Each transaction for the purchase and (or) sale of refined gold in bars conducted at the exchange office of an authorized organization shall be recorded in the electronic journal of registration of transactions for the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan, in the form according to Annex 15 to the Rules (hereinafter- the journal of registration of transactions with refined gold in bars).

      A journal of registration of transactions with refined gold in bars shall be maintained separately at each operating cash desk of an exchange office of an authorized organization in a hardware and software complex. The authorized organization shall ensure the storage in the hardware and software complex of information on completed transactions for the purchase and (or) sale of refined gold in bars, reflected in the journal of registration of transactions with refined gold in bars, for 5 (five) years from the date of their completion.

      For transactions with refined gold in bars for an amount exceeding 500,000 (five hundred thousand) tenge, the following shall be recorded in the journal of registration of transactions with refined gold in bars:

      surname, name and patronymic of the client (if any) (name and patronymic shall be indicated in full);

      individual identification number of the client (if any);

      data of the identity document of the client - type of document, date of issue, document number, validity period;

      legal address of the client.

      For transactions with refined gold in bars in an amount not exceeding 500,000 (five hundred thousand) tenge, surname, name and patronymic (if any) (name, patronymic shall be indicated in full) and the individual identification number of the client (if any) shall be recorded in the journal of registration of transactions with refined gold in bars.

      Fixation of the client's data, with the exception of the client's legal address shall be carried out in journal of registration of transactions with refined gold in bars based on the data of the client's identity document.

      Footnote. Paragraph 73 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      74. The change in the value of the fine gold in bullion bars shall be carried out only on the basis of the issuance of a new order establishing the value of such gold. At the same time, from the beginning of the new order on the establishment of the value of the fine gold in bullion bars, the previous order shall be canceled.

      In the case of the publication within the working time of the exchange office of the authorized organization of a new order that changes the cost of buying and (or) selling of the fine gold in bullion bars, an intermediate result on the volume of transactions with such gold shall be summarized in the journal of transactions with fine gold in bullion bars before starting operations at a new cost. After the end of the working day of the exchange office of an authorized organization, the journal of transactions with fine gold in bullion bars shall display the results of operations carried out within a working day.

      75. An authorized organization (its branch), by the 10th (tenth) day (inclusive) of the month following the reporting month, shall submit to the National Bank or the territorial branch of the National Bank a form designed to collect administrative data, "Report on transactions for purchase and (or) the sale of the fine gold in bullion bars issued by the National Bank of the Republic of Kazakhstan carried out through exchange offices", according to annex 16 to the Rules (hereinafter referred to as the Report on transactions with fine gold in bullion bars).

      76. The authorized organization conducts transactions for the purchase and (or) sale of refined gold in bars in integral special packaging.

      There is no sale of refined gold in bars with open special packaging and (or) without special packaging, as well as of refined investment gold in certified measured bars, issued by the National Bank before 2017 (hereinafter - refined gold in old-style bars).

      Acceptance of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars for the purpose of sending them to the National Bank for redemption shall be carried out by authorized organizations that have contractual relations for their redemption with the National Bank.

      Based on the request of an individual, refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars shall be sent to the National Bank for redemption.

      When accepting refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars, the authorized organization warns the individual about charging a commission fee for sending such gold to the National Bank for the purpose of its redemption.

      An individual shall be issued a written certificate in any form on the acceptance of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars (hereinafter - the written certificate). A written certificate shall be signed by the head of the authorized organization (its branch) or another person who has been granted such authority. The transfer of powers of the head of the authorized organization to sign a written certificate on the acceptance of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars, shall be carried out only on the basis of an order from the head of the authorized organization.

      Expertize and calculation of the repurchase price of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars shall be carried out by the National Bank within 45 (forty-five) calendar days from the date of signing the act of acceptance for repurchase of such bars.

      The authorized organization independently establishes a commission fee for sending to the National Bank of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars, for the purpose of their redemption, not exceeding 10 (ten) percent of the nominal the cost of refined gold in bullion and (or) refined gold in old-style bars.

      Footnote. Paragraph 76 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      76-1. Payment for the value of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in old-style bars sent to the National Bank for redemption, shall be carried out to an individual by an authorized organization in cash national currency, minus a commission within 5 ( five) working days from the date of receipt from the National Bank of confirmation of readiness to buy them in connection with the positive results of the expertize conducted by the National Bank.

      Footnote. The rules are supplemented by paragraph 76-1 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04. 2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

Chapter 9. Transitional provisions

      77. A certificate of the exchange office previously issued to an authorized bank shall be considered a written confirmation of the territorial branch of the National Bank received in accordance with the Rules.

      From the day the Rules enter into force upon receipt of a notification from an authorized bank on changes in the data specified in a notification on the beginning of an exchange office, the territorial branch of the National Bank shall send a written confirmation to an authorized bank with the number and date of the earlier issued certificate of the exchange office.

  Annex 1
  to the Rules for conducting
  exchange transactions with
  foreign currency in cash
  in the Republic of Kazakhstan

      Form

Application for a license for exchange operations with foreign currency in cash and annexes to the license

      Footnote. Annex 1 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04. 2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      To __________________________________________________________________

      (name of the territorial branch of the National Bank of the Republic of Kazakhstan)

      From __________________________________________________________________

      (name of a legal entity, business identification number, location)

      I hereby ask to issue a license for exchange transactions with foreign currency in cash and an annex to the license for opening an exchange office (automated exchange office) (indicate as necessary), located at:

      ____________________________________________________________________________

      (postal code, region, city, district, locality, street name, number of a house (building) (stationary premise), as well as floor, sector, block and other (if any))

      Information on compliance with qualification requirements:

      1. Participation share of founders (participants) in the authorized capital of the authorized organization:

      1) individuals:

      details of an identity document (surname, name and patronymic (if any), date of birth);

      individual identification number (for residents);

      place of residence;

      share in the authorized capital (% (amount)).

      2) legal entities:

      name of the legal entity;

      business identification number (for residents);

      location;

      share in the authorized capital (% (amount)).

      2. Characteristics of technical means for determining the authenticity of banknotes*:

Model
(Name)

Serial number

Verification of banknotes in ultraviolet light (paper luminescence control etc.)

Checking banknotes for magnetic marks



Yes

No

Yes

No



Yes

No

Yes

No

      3. Technical characteristics of the hardware and software complex*:

Model
(Name)

Serial number

Incorrectibility of daily registration of exchange transactions
 

Non-volatility of information storage on completed exchange transactions within 5 (five) years from the date of their completion



Yes

No

Yes

No



Yes

No

Yes

No

      4. Technical characteristics of the software*:

Name

Manufacturer (Supplier)

Incorrectibility of daily registration of exchange transactions

Non-volatility of information storage on completed exchange transactions within 5 (five) years from the date of their completion



Yes

No

Yes

No

      5. Technical characteristics of the video surveillance system*:

Name of the video surveillance system

Manufacturer (Supplier)

Ensuring the recording and storage of information for 30 (thirty) calendar days on technical devices that provide backup of the archive of video data and protect the archive from deletion and editing

Ensuring in the visibility zone of video surveillance of working area of the cashier and the client, as well as installing in places that ensure absence of interference for video surveillance



Yes

No

Yes

No

      Attached documents: 1. 2.

      E-mail ___________________________________________

      Phones ___________________________________________________

      Fax _______________________________________________________

      Bank account in tenge _______________________________________

      (account number, name of the authorized bank)

      It is hereby confirmed that:

      all the specified data are official contacts for sending any information on the issues of issuing or refusing to issue a license and an annex to the license;

      the applicant is not prohibited by the court to engage in a licensed type of activity;

      throughout the entire period of carrying out activities to conduct exchange operations with cash foreign currency, purchase and (or) sale refined investment gold in certified bullion bars, corresponding to the national standard of the Republic of Kazakhstan

      ST RK 2049 “Gold bars measured. Specifications”, issued by the National Bank of the Republic of Kazakhstan not earlier than 2017, and other affiliated investment gold bullion bars, issued by the National Bank Republic of Kazakhstan until 2017, exchange office (automated exchange office) is not located in the premises that are the location of another exchange office of an authorized organization;

      all attached documents (information) are valid.

      Authorized person of the applicant:

      __________ __________________________________________________________________

      (position) (surname, name and patronymic (if any)

      * shall not be filled out in case of opening an automated exchange office

  Annex 2 to the Rules
  for conducting exchange
  transactions with
  foreign currency in cash
  in the Republic of Kazakhstan

      Form

  ____________________________
  (name of the territorial branch of the
  National Bank of the Republic of Kazakhstan)
  ____________________________
  (surname, name, patronymic
  (if any) of the head)

Application for an appendix to a valid license for exchange transactions with foreign currency in cash for an additionally opening exchange office

      Footnote. Appendix 2 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04. 2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      Licensee: ________________________________________________________

      (full name of the legal entity, place of state registration, business identification number)

      Branch of the licensee*: ____________________________________________________________

      (branch name, branch location, business identification number)

      Number and date of the license for exchange transactions with foreign currency in cash:

      ___________________________________________________________________________

      I hereby ask to issue an appendix to a valid license for exchange transactions with

      foreign currency in cash to the exchange office (automated exchange office)

      (indicate as necessary), located at **:

      _________________________________________________________________________

      Information on compliance with qualification requirements:

      1. Participation share of founders (participants) in the authorized capital of the authorized organization:

      1) individuals:

      details of an identity document (surname, name and patronymic (if any), date of birth);

      individual identification number (for residents);

      place of residence;

      share in the authorized capital (% (amount)).

      2) legal entities:

      name of the legal entity;

      business identification number (for residents);

      location;

      share in the authorized capital (% (amount)).

      2. Characteristics of technical means for determining the authenticity of banknotes*:

Model
(Name)

Serial number

Verification of banknotes in ultraviolet light (paper luminescence control etc.)

Checking banknotes for magnetic marks



Yes

No

Yes

No



Yes

No

Yes

No

      3. Technical characteristics of the hardware and software complex ***:

Model
(Name)

Serial number

Incorrectibility of daily registration of exchange transactions
 

Non-volatility of information storage on completed exchange transactions within 5 (five) years from the date of their completion



Yes

No

Yes

No



Yes

No

Yes

No

      4. Technical characteristics of the software*:

Name

Serial number

Incorrectibility of daily registration of exchange transactions
 

Non-volatility of information storage on completed exchange transactions within 5 (five) years from the date of their completion



Yes

No

Yes

No

      5. Technical characteristics of the video surveillance system***:

Name of the video surveillance system

Manufacturer (Supplier)

Ensuring the recording and storage of information for 30 (thirty) calendar days on technical devices that provide backup of the archive of video data and protect the archive from deletion and editing

Ensuring in the visibility zone of video surveillance of working area of the cashier and the client, as well as installing in places that ensure absence of interference for video surveillance



Yes

No

Yes

No

      Attached documents:

      1.

      2.

      E-mail ___________________________________________

      Phones ___________________________________________________

      Fax _______________________________________________________

      Bank account in tenge _______________________________________________

      (account number, name of the authorized bank)

      It is hereby confirmed that: all the specified data are official contacts for sending any information on the issuance or refusal to issue a license and an annex to the license; throughout the entire period of carrying out activities to conduct exchange transactions with foreign currency in cash, purchase and (or) sale of refined investment gold in certified measured bars that comply with the national standard of the Republic of Kazakhstan ST RK 2049 “Gold bars measured. Specifications”, issued by the National Bank of the Republic of Kazakhstan not earlier than 2017, and other refined investment gold in bullions issued by the National Bank of the Republic of Kazakhstan until 2017, the exchange office (automated exchange office) is not located in the premises that are the location of another exchange office of an authorized organization; All attached documents (information) are valid.

      Authorized person of the applicant: __________ _____________________________________ _________

      (position) surname, name, patronymic (if any) (signature)

      * Note: indicated when opening an additional exchange office outside the region where the licensee is located

      ** Note: the address at which the premises of the exchange office are located, indicating, in the case of the exchange office being located in multifunctional buildings and structures (including business centres), in the buildings of railway stations, casinos, inside the terminals of international airports, data indicating location of the exchange office (for example, floor, sector, block)

      *** shall not be filled out in case of opening an automated exchange office

  Appendix 3
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan
  Form

License for exchange transactions with foreign currency in cash

      Footnote. Appendix 3 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      No. ____as of "____" ________________ 20___

      Licensee: _______________________________________________________________

      (full name, place of state registration, business-

      ________________________________________________________________________________

      identification number of legal entity)

      Licensor: __________ branch of the National Bank of the Republic of Kazakhstan

      ________ branch of the National Bank of the Republic of Kazakhstan entrusts to the authorized organization the functions of an agent for currency control.

      This license is issued in a single copy for an indefinite period and cannot be transferred to other persons.

      Head

      of the territorial branch

      of the National Bank

      of the Republic of Kazakhstan _________________________________________________ _________

      (full name                              (signature)

  Appendix 4
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan
  Form

Attachment No. ______ as of "____" _______________ 20___ to the license for
exchange transactions with foreign currency in cash No. ______
as of "_____" ______________ 20___

      Footnote. Appendix 4 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      Licensee: ________________________________________________________________

      (full name of the legal entity, place of state registration,

      business- identification number)

      Licensee’s branch*: _____________________________________________________________

      (name of the branch, location address of the branch, business identification number)

      Location of the exchange office: _______________________________________________

      ________________________________________________________________________________

      (region, city, district, street, building, floor, sector, block)

      Type of exchange office:

      exchange office (automated exchange office)

      underline as necessary

      Licensor: __________ branch of the National Bank of the Republic of Kazakhstan

      This attachment to the license shall be the ground for this exchange office operation.

      Work of this exchange office is supervised by ______________ branch of the National Bank of the Republic of Kazakhstan.

      Head

      of the of the territorial branch

      of the National Bank

      of the Republic of Kazakhstan ________________________________________________ __________

      (full name)             (signature)

      * Note: to be indicated when opening an additional exchange office outside the region of the licensee's location

  Annex 4-1
  to the Rules for conducting
  exchange transactions
  with foreign currency in cash
  in the Republic of Kazakhstan

      Footnote. The rules are supplemented by Appendix 4-1 in accordance with resolution No. 69 of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication); is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

State service standard "Issuance of a license for exchange operations with foreign currency in cash, issued by authorized organizations"

1.

Name of the service provider

Territorial branches of the National Bank of the Republic of Kazakhstan

2.

Ways of rendering a state service

Web portal of "electronic government" www.egov.kz (hereinafter- the portal)

3.

The term for rendering a state service

From the date of registration of the application on the portal:
when issuing a license and an annex to it - within 20 (twenty) working days;
when issuing an annex to a valid license - within 10 (ten) working days.
when reissuing a license and (or) an annex to it - within 10 (ten) working days.

4.

Form of rendering a state service

Electronic

5.

The result of rendering a state service

License and (or) annex to a valid license according to the forms in accordance with annexes 3 and 4 to the Rules for conducting exchange operations with foreign currency in cash in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49, registered in the Register of state registration of regulatory legal acts under No. 18545, (hereinafter- the Rules), or a reasoned response on the refusal to render a state service.
On the portal, the result of rendering a state service shall be sent and stored in the personal account of the service recipient in the form of an electronic document certified by the electronic digital signature of the head of the territorial branch of the National Bank.

6.

The amount of payment charged from the service recipient when rendering a state service, and methods of its collection in cases provided for by the legislation of the Republic of Kazakhstan

When rendering a state service, a license fee shall be paid for issuing a license for the right to engage in certain types of activities:
1) the license fee when issuing a license for the right to engage in this type of activity is 40 (forty) monthly calculation indices;
2) the license fee for reissuing a license is 10 (ten) percent of the rate when issuing a license.
Payment of the license fee shall be carried out through second-tier banks, branches of non-resident banks of the Republic of Kazakhstan or organizations carrying out certain types of banking operations, in a non-cash form through the payment gateway of "electronic government".

7.

Schedule

Territorial branches of the National Bank - from Monday to Friday from 9.00 to 18.30 with a lunch break from 13.00 to 14.30, Nur-Sultan time, except weekends and holidays;
portal - around the clock, except for technical breaks due to repair work.

8.

List of documents required for rendering a state service

To obtain a license for exchange transactions with foreign currency in cash and an annex to the license, the authorized organization shall send the following documents through the e-government web portal:
1) an electronic application for obtaining a license for exchange transactions with foreign currency in cash and annexes to the license in the form according to Annex 1 to the Rules;
2) an electronic copy of the charter;
3) an electronic copy of a document confirming the payment of a license fee for the right to engage in certain types of activities, except for cases of payment through the payment gateway of "electronic government";
4) an electronic copy of a certificate of a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan on the presence of a bank account in foreign currency;
5) an electronic copy of a document of a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan (including an extract on the movement of money in the client's bank accounts), confirming the crediting of money to the bank account of an authorized organization as a contribution to the authorized capital in accordance with the requirements of paragraph 8 of the Rules issued not earlier than 30 (thirty) calendar days prior to the date of application for obtaining a license and (or) annex to a license;
6) an electronic copy of a certificate from a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan, confirming that the cashier has completed training in working with foreign currency in cash, or an electronic copy of the document provided for by the Labour Code of the Republic of Kazakhstan dated November 23, 2015 and confirming the labour activity of an employee for at least 6 (six) months as a cash foreign currency cashier (except for an automated exchange office);
7) an electronic copy of the document disclosing the source of the contribution to the authorized capital of the authorized organization (loan agreement, property sale and purchase agreement, income statement, other documents disclosing the source of the contribution to the authorized capital of the authorized organization).
To obtain an application to a valid license when opening an additional exchange office (automated exchange office), an authorized organization (its branch) shall send the following documents through the e-government web portal:
1) an electronic application for obtaining an annex to a valid license for exchange operations with foreign currency in cash for an additionally opened exchange office in the form according to Annex 2 to the Rules;
2) an electronic copy of a document of a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan (including an extract on the movement of money in the client's bank accounts), confirming the crediting of money to the bank account of an authorized organization as a contribution to the authorized capital in accordance with the requirements of paragraph 8 of the Rules issued not earlier than 30 (thirty) calendar days prior to the date of application for obtaining a license and (or) annex to the license;
3) an electronic copy of a certificate from a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan, confirming that the cashier has completed training in working with foreign currency in cash, or an electronic copy of the document provided for by the Labour Code of the Republic of Kazakhstan dated November 23, 2015 and confirming the labour activity of an employee for at least 6 (six) months as a cash foreign currency cashier (except for an automated exchange office);
4) an electronic copy of the document disclosing the source of the contribution to the authorized capital of the authorized organization (loan agreement, property sale and purchase agreement, income statement, other documents disclosing the source of the contribution to the authorized capital of the authorized organization);
5) an electronic copy of the document confirming the technical characteristics and compliance of the automated exchange office with the requirements established by the Rules (except for the exchange office).



To reissue a valid license for exchange operations with foreign currency in cash and (or) a valid annex to the license, the authorized organization shall send the following documents through the e-government web portal:
1) an electronic application for reissuing a license for exchange operations with foreign currency in cash and (or) an annex to the license for exchange operations with foreign currency in cash in the form according to Annex 5 to the Rules;
2) electronic copies of documents containing information about the changes that served as the basis for reissuing a license and (or) an annex to a valid license, with the exception of documents, information from which is contained in state information systems;
3) an electronic copy of a document confirming the payment of a license fee for the right to engage in certain types of activities, except for cases of payment through the payment gateway of "electronic government" (in case of reissuing a valid license for exchange operations with foreign currency in cash).

9.

Grounds for refusal to render a state service, established by the legislation of the Republic of Kazakhstan
 

1) failure to submit the documents and (or) information provided for in paragraph 4 of Article 12 of the Law of the Republic of Kazakhstan dated July 2, 2018 "On currency regulation and currency control" (hereinafter- the Law on currency regulation) and paragraph 1 of Article 32 of the Law of the Republic of Kazakhstan dated May 16 2014 "On Permits and Notifications" (hereinafter- the Law on Permits), as well as failure to submit the documents provided for in paragraph 8 of the Standard;
2) non-compliance of the applicant and (or) submitted documents and (or) information with the requirements established by paragraph 4 of Article 12 of the Law on Foreign Exchange Regulation and paragraph 1 of Article 32 of the Law on Permits.

10.

Other requirements, taking into account the specifics of rendering a state service, including those rendered in electronic form

The territorial branch of the National Bank, within 2 (two) working days from the date of receipt of the documents of a service recipient shall check the completeness of the submitted documents.
In the event that the fact of incompleteness of the submitted documents is established, it gives a written reasoned refusal to further consider the application.
The address of the place of rendering a state service is posted on the official Internet resource of the National Bank: www.nationalbank.kz.
The service recipient has the opportunity to receive information on the procedure and status of rendering a state service in remote access mode through the personal account of the portal, as well as the Unified Contact Centre for the issues of rendering state services.
The contact numbers of the service provider are indicated on the official Internet resource of the service provider: www.nationalbank.kz, section "To Consumers of Services", hereinafter - "State services".
Unified contact centre for the issues of rendering state services: 8-800-080-7777, 1414.

  Appendix 5
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan
  Form
  ____________________________
(name of the territorial branch
of the National Bank of
  the Republic of Kazakhstan
  ____________________________
(full name of the manager)

Application for renewal of a license for exchange operations with foreign currency in cash and (or) attachment to the license for exchange operations with foreign currency in cash

      Footnote. Appendix 5 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      Licensee:

      ______________________________________________________________________________

      (full name of the legal entity, place of state registration,

      business identification number)

      Licensee’s branch*: _____________________________________________________________

      (branch name, branch location, business identification number)

      I hereby ask to reissue license No. ____ as of _________________ and (or)

      attachment No. _____ as of __________ to license No. ________ as of __________

      for exchange office, located at the address **:

      _________________________________________________________________

      _________________________________________________________________

      Ground for reissue: ____________________________________

      Attached documents:

      1.

      2.

      …………

      Authorized person of the applicant:

      ____________ _____________________________________________________________

      (position)                   (full name)

      * Note: to be indicated when applying for reissue of attachment to the license for exchange office outside the region of the licensee's location

      ** Note: address at which the exchange office is located, indicating, if the exchange office is inside multi-purpose buildings and structures (including business centers), in the buildings of railway stations, casinos, inside the terminals of international airports, the data specifying the exchange office location (e.g. floor, sector, block))

  Appendix 6
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan
  Form

Information on founders (participants) of the authorized organization
_______________________________________________________
(name of the authorized organization)

      Footnote. Appendix 6 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      1. Individuals:

No.
n/n

Full name

Date of birth

Identity document details

Individual identification number (for residents)

Place of residence

Share in the authorized capital

in %

amount
























 
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      2. Legal entities:

No.
n/n

Name of the legal entity

Organizational -legal form

Business identification number (for residents)

Location

Share in the authorized capital

in %

amount





















 
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      It is hereby confirmed that the founders (participants) of the authorized organization meet the requirements of paragraph 6

      of the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan

      Chief executive ______________

      (signature)

  Appendix 7
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan
  Form

city _____________

date ____________
Download

Decision on deprivation (suspension) (indicated depending on the decision taken) of a license for exchange transactions with foreign currency in cash and (or) attachment to the license for exchange transactions with foreign currency in

      Footnote. Appendix 7 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      For breach of the rules stipulated by ___________________________________

      _________________________________________________________________________,

      (indicate the rules of regulatory legal acts that were breached)

      In accordance with Article 48 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activities in the Republic of Kazakhstan" _________ branch of the National Bank of the Republic of Kazakhstan HEREBY RESOLVED:

      1. Deprive (Suspend) for the term of* __________ ( indicated depending on the decision) the license for exchange transactions with foreign currency in cash No.____ as of ______ and (or) attachment to a license for exchange transactions with foreign currency in cash No. ____ as of ______, issued to "______" Limited Liability Partnership (hereinafter - LLP).

      2. The department ___________________________ (full name of the head of the department) shall send (hand over) a copy of this resolution to the LLP for execution.

      3. I shall reserve the right for control over execution of this decision.

      Head

      of the territorial branch

      of the National Bank

      of the Republic of Kazakhstan _________ ___________________________________________________

      (signature            (full name)

      Seal

      *Note: to be indicated in case of decision on suspension of a license and (or) attachment to a license and shall be calculated from the date of receipt by the LLP of a copy thereof.

  Appendix 8
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan
  Form

___________________________________________________________________
(name of the territorial branch of the National Bank of the Republic of Kazakhstan)

No. ____ 

as of "____" _____________ 20 ___
Download

Notification of commencement or termination of activity of the authorized bank’s exchange office (indicated depending on the decision made)

      Footnote. Appendix 8 - as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      1. _____________ commencement of activity (opening of exchange office)

      _______________ termination of activity (closing of exchange office)

      _______________ data change

      2. Name of the authorized bank (of the territorial branch of the authorized bank

      ___________________________________________________________

      3. Location of the authorized bank (its branch)

      _______________________________________________________________________________

      4. Business identification number of the authorized bank (its branch)

      _______________________________________________________________________________

      5. Type of exchange office:

      exchange office (automated exchange office) underline as necessary

      6. Location of the exchange office (of the automated exchange office)

      ______________________________________________________________________________

      7. Number of operational cash desks in the exchange office of the authorized bank

      ______________________________________________________________________________

      8. Number and date of the certificate of the exchange office of the authorized bank or written confirmation

      ______________________________________________________________________________

      9. By this notification the authorized bank (its branch) hereby confirms that the exchange office located at the address,

      ___________________________________________________________ meets

      the Rules of conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan (hereinafter -the Rules)

      Authorized person of the notifier:

      ____________ ____________________________________________________________

      (position                        (full name)

Guide on completing Appendix 8

      When an exchange office (automated exchange office) of an authorized bank is opening, a notification shall be sent on the commencement of the exchange office work with the completion of all items of Appendix 8 to the Rules, with the exception of item 8 of this Appendix.

      When the exchange office (automated exchange office) of the authorized bank is closing, a notification shall be sent on the termination of the operation of the exchange office of the authorized bank with completion of all the items of Appendix 8 to the Rules.

      When changing the data mandatory for completion specified in the previously submitted notification of the commencement of the exchange office work, a notification of the change in data shall be sent with completion of all the paragraphs of Appendix 8 to the Rules.

      In paragraph 6 of Appendix 8 to the Rules the location address of the exchange office shall be indicated, with indication, if the exchange office is stationed in multi-purpose buildings and structures (including business centers), in the buildings of railway stations, casinos, inside the air terminals of international airports, of the data specifying the location of the exchange office (for example, floor, sector, block).

  Appendix 9
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan

      Form

Written confirmation

      Footnote. Annex 9 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      No. _________ dated "____" _________

      _____________ branch of the National Bank of the Republic of Kazakhstan

      hereby confirms ________________________________________________________

      (name of the authorized bank (branch of the authorized bank)

      the receipt of notification on commencement (change of data, termination of activities of the

      exchange office) for No. _________________ dated _________.

      Registration data of the exchange office _________ dated _______.

      Address of the exchange office ________________________________________

      ________________________________________________________________________

      The activity of this exchange office is controlled by

      _________________________ branch of the National Bank of the Republic of Kazakhstan

      (not indicated if the exchange office of the authorized bank is closed).

      Head of the territorial branch of the National Bank of the Republic of Kazakhstan

      ___________________________________________________________ ___________

      (surname, name, patronymic (if any) (signature)

      Seal

  Appendix 10
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan
  Form

Information for customers of the exchange office

      Footnote. Appendix 10 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      __________________________________________________________________________

      (name and location of a legal entity, entitled for conducting

      exchange transactions with foreign currency in cash, (its branch)

      Number and date of the license____________________________________________

      Activities of this exchange office shall be supervised by ____________ branch

      of the National Bank of the Republic of Kazakhstan.

      If there are objections to the work of the exchange office, please send them to:

      ________________________________________________________________________

      (postal address of the territorial branch of the National Bank of the Republic of Kazakhstan)

      For examination of the complaint, please kindly provide therein the following information:

      full name of the applicant;

      individual identification number;

      address of the applicant;

      address of the exchange office;

      name of the legal entity entitled to conduct exchange transactions with foreign currency in cash, (its branch) that opened this exchange office;

      substance of the complaint;

      date and time of committed breach by the exchange office;

      full name of the exchange office teller.

      Signature of the applicant shall be required to file the complaint.

  Appendix 11
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan
  Form

Log of registers of purchased and sold foreign currency in cash

      Footnote. Appendix 11 as amended by Resolution No. 265 of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 (shall be enforced upon expiry of twenty one calendar days after the date of its official publication).

      Name of the legal entity entitled to conduct exchange transactions with foreign currency in cash, (its branch), business identification number

      ________________________________________________________________________

      Number of a valid attachment to the valid license of the authorized organization (certificate of the exchange office of the authorized bank

      or a written confirmation) (upon receipt by the authorized bank of such certificate or such confirmation) ___________________________________ "____"______________20____

Balance in the exchange office’s operational cash at the beginning of the day *

________________________ tenge _____________________________ (on all currency types)

Balance in the exchange office’s operational cash at the end of the day*

________________________ tenge _____________________________ (on all currency types)
Download

      * Not to be completed when combining exchange operations with other banking operations

Date and time of the order enactment

Number and date of the manager's order

USD

EUR

...

Purchase

Sale

Purchase

Sale

Purchase

Sale








 
Download

Register of bought and sold foreign currency in cash "____"_________________20____

No. n/n

Residency indicator *

Client's identity document details**

Client's Individual Identification Number

Client's legal address

Name of the foreign currency

Amount of the currency

Transaction time (in hours and minutes)*****

Bought

Sold

in foreign currency

tenge ***

in foreign currency

tenge ****

1

2

3

4

5

6

7

8

9

10

11

















Total:
















 
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      Cash teller ________________________________________________________ ___________

      (full name                                          (signature)

      Note:

      * indicated in accordance with the document presented by the client during the exchange operation: 1 - for residents (citizens of the Republic of Kazakhstan, foreign nationals and stateless persons permanently residing in the Republic of Kazakhstan on the permanent residence permit in the Republic of Kazakhstan), 2 - for non-residents;

      ** - in cases specified in part two of paragraph 51 of the Rules, full name of the client shall be filled in.

      *** - calculated at the purchase rate;

      **** - calculated at the sale rate;

      ***** - transaction time indicated in the check voucher.

  Appendix 12
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan

Form intended for collecting administrative data

      Submitted: to the central office or territorial branch of the National Bank of the Republic of Kazakhstan

      The form of administrative data is posted on the official Internet resource www.nationalbank.kz

      Report on exchange transactions carried out through exchange offices

      Footnote. Annex 12 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04. 2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      Index of administrative data form: NIV_UB

      Periodicity: monthly

      Reporting period: for ___________ 20 ____

      Circle of persons submitting the report: authorized bank (its branch)

      Deadline for submission: monthly, before the 7th (seventh) day (inclusive) of the month following the reporting one

      Form

Name of the indicator
 

Line code
 

All currencies

including by types of currencies


USD

EUR

RUB

CNY

GBP

Other currencies (indicate the type of foreign currency)


А

Б

1

2

3

4

5

6

(...)


Section 1. Transactions on the purchase of foreign currency in cash from individuals


Purchased foreign currency in cash, total

110









including from non-residents

111









Number of transactions for the purchase of foreign currency in cash

210









including in the amount of:










up to one million tenge (inclusive)

211









over two million tenge up to ten million tenge

212









from ten million tenge
(inclusive) and above

213









The lowest purchase rate

311

X






X


The highest purchase rate

312

X






X


Section 2. Transactions on the sale of foreign currency in cash to individuals


Sold foreign currency in cash, total

120









including to non-residents

121









Number of transactions for the sale of foreign currency in cash

220









including in the amount of:










up to one million tenge (inclusive)

221









over two million tenge up to ten million tenge

222









from ten million tenge (inclusive) and above

223









The lowest sale rate

321

X






X


The highest sale rate

322

X






X


      Name of the authorized bank (its branch) ________________________

      Address_________________________________________________________________

      Telephone _______________________________________________________________

      E-mail address ________________________________________________

      Executor ___________________________________________ _________________

      surname, name and patronymic (if any) signature, phone number

      The first head or a person authorized by him to sign the report

      ___________________________________________________________ _________________

      surname, name and patronymic (if any) signature, phone number

      Date "____" ______________ 20__

  Annex
  to the form of report
  on exchange transactions conducted
  through exchange offices

Explanation on filling out the form of administrative data "Report on exchange transactions conducted through exchange offices"

1. General provisions

      1. This explanation shall determine the requirements for filling out the form intended for collecting administrative data "Report on exchange transactions conducted out through exchange offices" (hereinafter - the Form).

      2. The form has been developed in accordance with subparagraph 9) of Article 56 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan".

      3. The form shall be compiled on a monthly basis by an authorized bank (its branch) according to the data for the reporting month of the Registers of purchased and sold cash foreign currency, filled in in accordance with Annex 11 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan, approved by the decision of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49, registered in the Register of state registration of regulatory legal acts under No. 18545.

      4. When compiling the Form, in calculations for data in tenge, the amount of the exchange transaction in tenge shall be used, indicated respectively in columns 8 and 10 of the Register of purchased and sold cash foreign currency.

      5. In the absence of data for the reporting period, the Form shall be submitted with zero values.

      6. Adjustments (corrections, additions) to the data shall be made within six months after the deadline for submitting the Form.

2. Explanation on filling out the Form

      7. Column 1 of the report presents data on all types of foreign currencies with which the exchange offices of the authorized bank (its branch) carried out exchange transactions in the reporting period. The total data on the volume of exchange transactions shall be calculated in tenge.

      8. In column 1, data on lines with codes 110, 111, 120 and 121 shall be filled in in thousands of tenge rounded to an integer value (data less than five hundred tenge are rounded to zero, from five hundred to one thousand tenge - to one).

      9. In columns 2, 3, 4, 5 and 6, data shall be presented for the United States dollar (USD), euro (EUR), Russian rouble (RUB), Chinese yuan (CNY), British pound sterling (GBP), and in columns with subsequent numbering data on other types of currencies with which the exchange offices of the authorized bank (its branch) carried out exchange transactions in the reporting period shall be provided.

      10. In columns 2, 3, 4, 5 and 6 and further numbered columns, data on lines 110, 111, 120 and 121 shall be presented in units of the corresponding currency.

      If exchange offices did not carry out exchange transactions with any of the currencies indicated in columns 2, 3, 4, 5 and 6 in the reporting period, then the corresponding column shall not be filled in.

      11. Lines 210, 211, 212, 213, 220, 221, 222 and 223 shall be filled out in units of account.

      12. Columns 2, 3, 4, 5 and 6 and further numbered columns in lines 311, 312, 321 and 322 shall indicate the exchange rate of the corresponding foreign currency. Line 311 (321) in the corresponding column shall indicate the lowest of the rates of this foreign currency, established for the exchange offices of the authorized bank (its branch) in the reporting month for purchase (sale) for tenge, line 312 (322) - the highest of the rates of this foreign currency, established for the exchange offices of the authorized bank (its branch) in the reporting month for the purchase (sale) for tenge.

      13. When filling out this report for all columns, the following conditions shall be met:

      line with code 111 ≤ line with code 110;

      line with code 121 ≤ line with code 120;

      line with code 210 ≥ line with code 211 + line with code 212 + line with code 213;

      line with code 220 ≥ line with code 221 + line with code 222 + line with code 223.

  Appendix 13
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan

Form intended for collecting administrative data

      Submitted: to the central office or territorial branch of the National Bank of the Republic of Kazakhstan

      The form of administrative data is posted on the official Internet resource www.nationalbank.kz

Report on the movement of foreign currency and exchange transactions conducted through exchange offices

      Footnote. Annex 13 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04. 2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      Index of administrative data form: NIV_UO

      Periodicity: monthly

      Reporting period: for __________ 20 ___

      Circle of persons submitting the report: authorized organization (its branch)

      Deadline for submission: monthly until the 7th (seventh) day (inclusive) of the month following the reporting one

      Form

      Number and date of the license for exchange transactions with foreign currency in cash

      ____________________________________________________________________________

Name of the indicator

Line code

All currencies

including by types of currencies

USD

EUR

RUB

CNY

GBP

Other currencies (indicate the type of foreign currency)

А

Б

1

2

3

4

5

6

(...)

Section 1. Transactions on the purchase of foreign currency in cash from individuals

Purchased foreign currency in cash, total

110








including from non-residents

111








Number of transactions for the purchase of foreign currency in cash
 

210








including in the amount of:









up to one million tenge (inclusive)

211








over two million tenge up to ten million tenge

212








from ten million tenge
(inclusive) and above

213








The lowest purchase rate

311

X






X

The highest purchase rate

312

Х






X

Section 2. Transactions on the sale of foreign currency in cash to individuals

Sold foreign currency in cash, total
 

120








including to non-residents

121








Number of transactions for the sale of foreign currency in cash

220








including in the amount of:









up to one million tenge (inclusive)

221








over two million tenge up to ten million tenge

222








from ten million tenge (inclusive) and above

223








The lowest sale rate

321

X






X

The highest sale rate

322

X






X

Section 3. Report on movement of foreign currency

Balance of foreign currency at the beginning of the reporting period (410 = 411 + 412)

410








including:









cash foreign currency at the cash desk (including the cash desk of exchange offices)

411








foreign currency on foreign currency accounts in authorized banks (indicate authorized banks)
__________________
__________________
 

412








Received foreign currency for the reporting period (420 > = 421 + 422 + 423 + 424).

420








including:
 









foreign currency purchased from authorized banks (indicate authorized banks)
__________________
__________________
 

421








loans from authorized banks (indicate authorized banks)
__________________
__________________
 
__________________

422








purchased from individuals through exchange offices
 

423








other receipts

424








Foreign currency spent (430 >= 431+432 + 433 + 434)
 

 430








of them:
 









sold foreign currency to an authorized bank (indicate the name of the authorized bank)
__________________
__________________
__________________

431








repaid loans of authorized banks (indicate the name of the authorized bank)
__________________
__________________

432








sold cash foreign currency to individuals through exchange offices
 

433








other expenses

434








Balance of foreign currency at the end of the reporting period (440 = 441 + 442)
__________________
__________________

440








including:
 









cash foreign currency at the cash desk (including the cash desk of exchange offices)
 

441








foreign currency on foreign currency accounts in authorized banks (indicate authorized banks)
____________________________________________

442








      Name of the authorized organization (its branch) _____________________

      Address___________________________________________________________________

      Telephone ________________________________________________________________

      E-mail address _________________________________________________

      Executor ______________________________________ _____________________

      surname, name and patronymic (if any) signature, phone number

      The first head or a person authorized by him to sign the report

      ____________________________________________________________ _________________

      surname, name and patronymic (if any) signature, phone number

      Date "____" ______________ 20__

  Annex to the report form
  on the movement of foreign currency and
  exchange transactions,
  conducted through exchange offices

Explanation on filling out the form of administrative data "Report on the movement of foreign currency and exchange transactions conducted through exchange offices" 1. General provisions

      The form is compiled on a monthly basis by an authorized organization (its branch) according to the data for the reporting month of the Registers of purchased and sold cash foreign currency, filled in in accordance with Appendix 11 to the Rules for conducting exchange operations with foreign currency in cash in the Republic of Kazakhstan, approved by the decision of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49, registered in the Register of State Registration of Normative Legal Acts under No. 18545.

      1. This explanation shall determine the requirements for filling out the form intended for collecting administrative data, "Report on the movement of foreign currency and exchange transactions conducted through exchange offices" (hereinafter - the Form).

      2. The form has been developed in accordance with subparagraph 9) of Article 56 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan".

      3. The form shall be compiled on a monthly basis by an authorized bank (its branch) according to the data for the reporting month of the Registers of purchased and sold cash foreign currency, filled in in accordance with Annex 11 to the Rules for conducting exchange transactions with foreign currency in cash in the Republic of Kazakhstan, approved by the decision of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49, registered in the Register of state registration of regulatory legal acts under No. 18545. A branch of an authorized organization shall draw up an independent Form.

      4. When compiling the Form, in calculations for data in tenge, the amount of the exchange transaction in tenge shall be used, indicated respectively in columns 8 and 10 of the Register of purchased and sold cash foreign currency.

      5. In the absence of data for the reporting period, the Form shall be submitted with zero values.

      6. Adjustments (corrections, additions) to the data shall be made within six months after the deadline for submitting the Form.

2. Explanation on filling out the Form for sections 1 and 2

      7. When generating a report in calculations for data in tenge, the equivalent of the amount of the exchange transaction in tenge shall be used, indicated respectively in columns 8 and 10 of the Register of purchased and sold cash foreign currency.

      8. Column 1 of the report (with the exception of the lines marked with an "X") shall present data on all types of foreign currencies with which the exchange offices of the authorized organization (its branch) carried out exchange transactions in the reporting period. The total data on the volume of exchange transactions shall be calculated in tenge.

      9. In column 1, data on lines with codes 110, 111, 120 and 121 shall be filled in in thousands of tenge with rounding to an integer value (data less than five hundred tenge are rounded to zero, from five hundred to one thousand tenge - to one).

      10. In columns 2, 3, 4, 5 and 6, data shall be presented for the United States dollar (USD), euro (EUR), Russian rouble (RUB), Chinese yuan (CNY), British pound sterling (GBP), and in columns with subsequent numbering data on other types of currencies with which the exchange offices of the authorized bank (its branch) carried out exchange transactions in the reporting period shall be provided.

      11. In columns 2, 3, 4, 5 and 6 and further numbered columns, data on lines 110, 111, 120 and 121 are presented in units of the respective currency.

      If exchange offices did not carry out exchange transactions with any of the currencies indicated in columns 2, 3, 4, 5 and 6 in the reporting period, then the corresponding column is not filled in.

      12. Lines 210, 211, 212, 213, 220, 221, 222 and 223 are filled in units of account.

      13. In columns 2, 3, 4, 5, 6 and further numbered columns in lines 311, 312, 321 and 322, the exchange rate of the corresponding foreign currency is indicated. Line 311 (321) in the corresponding column indicates the lowest of the rates of this foreign currency, established for the exchange offices of the authorized organization (its branch) in the reporting month for purchase (sale) for tenge; on line 312 (322) - the highest of the rates of this foreign currency, established for the exchange offices of the authorized organization (its branch) in the reporting month for purchase (sale) for tenge.

      14. When filling out sections 1 and 2 of the report for all columns, the following conditions shall be met:

      line with code 111 ≤ line with code 110;

      line with code 121 ≤ line with code 120;

      line with code 210 ≥ line with code 211 + line with code 212 + line with code 213;

      line with code 220 ≥ line with code 221 + line with code 222 + line with code 223.

      under section 3

      15. In section 3 of the report, column 1 is not filled in.

      16. In columns 2, 3, 4, 5 and 6 and further numbered columns, line data are presented in thousands of units of the relevant currency.

      17. In columns 2, 3, 4, 5 and 6 and further numbered columns, the data in lines 423 and 433 must be equal to the data in lines 110 and 120, respectively, converted into thousands of units.

      18. When filling out section 3 of the report in columns 2, 3, 4, 5 and 6 and further numbered columns in lines 410, 420, 430 and 440, the conditions specified in the name of the corresponding indicators shall be met.

  Appendix 14
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan

Form intended for collection of administrative data

      Submitted: to central office or territorial branch of the National Bank of the Republic of Kazakhstan

      The administrative data are available on the official Internet resource www.nationalbank.kz

Report on purchase and (or) sale of foreign currency in cash in the amount equal to or above 50,000 (fifty thousand) United States dollars equivalent

      Footnote. Appendix 14 - as amended by Resolution No.69 of the Board of the National Bank of the Republic of Kazakhstan dated 18.05.2020 (shall be enforced upon expiry of two months after the date of the first official publication of this resolution); as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      Index of administrative data form: NIV_VAL

      Periodicity: monthly

      Reporting period: for __________ 20 ___

      Submitted by: the authorized bank (its branch)) or the authorized organization (its branch)

      Submission deadline: by 10th (tenth) day (including) of the month following the reporting period

  Form

1. Information on the customer

2. Information on currency transaction

Full name

Individual identification number (other data)

Residency indicator *

Date

Purchase (sale)

Amount in thousand currency units

Currency code

1.1

1.2

1.3

2.1

2.2

2.3

2.4







 
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      * –indicated in accordance with the document presented by the client during the exchange operation: 1 - for residents (citizens of the Republic of Kazakhstan, foreign nationals and stateless persons permanently residing in the Republic of Kazakhstan on the permanent residence permit in the Republic of Kazakhstan), 2 - for non-residents

      Name of the authorized bank (its branch) or the authorized organization (its branch)

      _____________________________________________________________________________

      Address____________________________ Phone _______________________________

      E-mail address ___________________________________________________

      Executor______________________________ ________________________________

      full name, signature, phone number

      Chief executive, or person authorized by him to sign the report

      ________________________________________________________ _________________

      full name, signature, phone number

      Date "____" ______________ 20__

  Appendix
to the form of report on
purchase and (or) sale of
foreign currency in cash
in the amount equal or above
50 000 (fifty thousand)
United States dollars equivalent

Form

Explanation on filling out the administrative data form
"Report on purchase and (or) sale of foreign currency in cash in the amount equal to or above 50,000 (fifty thousand) United States dollars equivalent
1. General provisions

      1. This explanation shall determine uniform requirements to filling out the form intended for collection of administrative data "Report on the purchase and (or) sale of foreign currency in cash in the amount equal to or above 50,000 (fifty thousand) United States dollars equivalent", (hereinafter -the Form).

      2. The Form shall be submitted monthly by the authorized bank (its branch) or authorized organization (its branch) and shall include information on the transactions of purchase or sale of foreign currency in cash in the amount equal to or above 50,000 (fifty thousand) US dollars in equivalent.

      3. The Chief Executive or Chief Accountant and the executor shall sign the Form with the indication of full name

      4. In the absence of data for the reporting period, the Form shall be submitted with zero values.

      5. Adjustments (corrections, additions) to the data shall be made within six months after the period established for the submission of the Form.

2. Explanation on filling out the Form

      6. The Form shall be sent if there are transactions on the purchase and (or) sale of foreign currency in cash in the amount equal to or above 50,000 (fifty thousand) US dollars in equivalent to one individual over the reporting period.

      7. Information on transactions on the purchase or sale of foreign currency in cash shall be reflected in the report on the date of the transaction.

      8. In part 1 of the Form, information shall be provided about the individual-customer who has performed the transaction on purchase or sale of foreign currency in cash.

      9. Column 1.2 shall indicate the individual identification number. In the absence of an individual identification number from an individual, in column 1.2 data of identity document shall be indicated.

      10. In part 2 of the Form, information on the transaction on purchase or sale of foreign currency shall be indicated.

      Column 2.2 shall indicate “1” when a customer purchases foreign currency in cash, “2” - when a customer sells foreign currency in cash.

      Column 2.4 indicates a three-digit letter currency code in accordance with the national classifier of the Republic of Kazakhstan NC RK 07 ISO 4217 "Codes for representing currencies and funds".

      Footnote. Paragraph 10 as amended by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

  Appendix 15
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan

      Form

Registration journal of transactions for the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan

      Footnote. Annex 15 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      Name of the authorized organization or its branch, business identification number ___________________________

      Number of the annex to the license for exchange transactions with foreign currency in cash in the Republic of Kazakhstan of the authorized organization _______________ "____" 20____

Balance of refined gold in bars at the operating cash desk of the exchange office

Number of bullion bars by variety in masses (grams)

at the beginning of the day
 






at the end of the day






Date and time of commencement of the order on establishing the cost of refined gold in bars
 

Number and date of the order of the head on establishing the cost of refined gold in bars

The cost of one bar of refined gold in national currency by varieties in masses (grams)
 

Purchase (in masses)

Sale (in masses)













Register of transactions for the purchase and (or) sale of refined gold in bars, issued by the National Bank of the Republic of Kazakhstan for "____" _________________20____

No.n/n

Sign of residency*

Details of the client's identity document**

Individual identification number of the client

Legal address of the client

1

2

3

4

5
















      table continuation:

Purchased

Sold

Time of transaction (in hours and minutes) *****

Gold bar mass (grams)

Cost in tenge***

Gold bar unique number

Gold bar mass (grams)

Cost in tenge****

Gold bar unique number

6

7

8

9

10

11

12








Total:














      Cashier ___________________________________________________ _______________

      (surname, name, patronymic (if any) (signature)

      Note:

      * - indicated in accordance with the document submitted by the client during the transaction: 1 - for residents (citizens of the Republic of Kazakhstan, foreigners and stateless persons permanently residing in the Republic of Kazakhstan on the basis of a permit for permanent residence in the Republic of Kazakhstan), 2 - for non-residents;

      ** - in the cases provided for in part four of paragraph 73 of the Rules, surname, name and patronymic (if any) of the client are filled in;

      *** - calculated at the purchase price;

      **** - calculated at the cost of the sale;

      ***** - the time of the transaction, indicated in the control check.

  Appendix 16
to the Rules for conducting
exchange transactions with
foreign currency in cash
in the Republic of Kazakhstan

Form intended for collection of administrative data

      Submitted to: central office or territorial branch of the National Bank of the Republic of Kazakhstan

      The form of administrative data is available on the official Internet resource www.nationalbank.kz

Report on transactions on purchase and (or) sale of fine gold in bars, issued by the
National Bank of the Republic of Kazakhstan, conducted through exchange offices

      Footnote. Appendix 16 - as amended by Resolution No.69 of the Board of the National Bank of the Republic of Kazakhstan dated 18.05.2020 (shall be enforced upon expiry of two months after the date of the first official publication of this resolution); is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      Index of the administrative data form: SMSAZ_UO

      Periodicity: monthly

      Reporting period: for __________ 20 ___

      Submitted by: authorized organization (its branch)

      Submission deadline: by the 10th (tenth) day (inclusive) of the month following the reporting

  Form

Number and date of the license for conducting exchange transactions with foreign currency in cash _________________________________________________________________________

Name of the indicator

Line code

Total in tenge

Variety in masses (grams)

А

B

1

2

3

4

5

6

Section 1. Transactions on purchase of fine gold in bars from individuals

Total cost of fine gold in bars purchased

110







including from non-residents

111







Total amount of fine gold in bars purchased

120

X






Section 2. Transactions on sale of fine gold in bars to individuals

Total cost of fine gold in bars sold

210







including to non-residents

211







Total amount of fine gold in bars sold

220

X






Section 3. Transactions on purchase from the National Bank of the Republic of Kazakhstan and sale to the National Bank of the Republic of Kazakhstan of fine gold in bars

Amount of fine gold in bars sold

310

X






Amount of fine gold in bars purchased

320

X






Section 4. Results of transactions with fine gold in bars sold

Balance of fine gold in bars at the beginning of reporting period at the cash desk of the exchange office

410

X






Balance of fine gold in bars at the end of reporting period

420

X





 
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      Name of the authorized organization (its branch) _____________________________

      Address___________________________________________________ Phone _______________

      E-mail address _________________________________________________________

      Executor _______________________________________________________ _____________

      full name, signature, phone number

      Chief executive, or a person authorized by him to sign the report

      __________________________________________________________________ _____________

      full name, signature, phone number

      Date "____" ______________ 20__

  Appendix
to the form of the report on transactions on purchase and (or) sale of fine gold bars
issued by the National Bank of the
Republic of Kazakhstan, conducted
through exchange offices

Explanation on filling out the administrative data form
"Report on transactions on purchase and (or) sale of fine gold in bars, issued by the
National Bank of the Republic of Kazakhstan, conducted through exchange offices"

      1. This explanation shall determine the requirements to filling out the form intended for collection of administrative data "Report on transactions on purchase and (or) sale of fine gold in bars issued by the National Bank of the Republic of Kazakhstan conducted through exchange offices", (hereinafter -the Form).

      2. The Form has been developed in accordance with sub-clause 9) of article 56 Of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan".

      3. The form shall be drawn up monthly by an authorized organization (its branch) according to the data for the reporting month of the registration journal of transactions for the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan, in accordance with Annex 15 to the Rules for conducting exchange transactions with cash foreign currency in the Republic of Kazakhstan, approved by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49, registered in the Register of state registration of regulatory legal acts under No. 18545. A branch of an authorized organization draws up an independent Form.

      Footnote. Paragraph 3 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      4. When drawing up the Form in calculations for data in tenge, the amount of transactions in tenge shall be used, indicated respectively in columns 7 and 10 of the Register of transactions with refined gold in bars.

      Footnote. Paragraph 4 is in the wording of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.04.2021 No. 49 (shall be enforced upon expiry of twenty-one calendar days after the day of its first official publication).

      5. In the absence of data for the reporting period, the Form shall be submitted with zero values.

      6. Adjustments (corrections, additions) to the data shall be made within six months after the period established for the submission of the Form.

  Annex
to the decree of the Managing Board of the
National Bank of the
Republic of Kazakhstan
dated April 4, 2019 no. 49

List of certain decisions of the Managing Board of the National Bank of the
Republic of Kazakhstan, recognized as invalid

      1. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 no. 144 "On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan" (registered in the Register of State Registration of Regulatory Legal Acts as no. 9801, published on November 12, 2014 in "Adilet" Information and Legal System of Regulatory Legal Acts of the Republic of Kazakhstan.

      2. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated March 26, 2015 no. 46 "On amendments and additions to the Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 no. 144 "On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan " (registered in the Register of State Registration of Regulatory Legal Acts as no. 10873, published on May 6, 2015 in "Adilet" Information and Legal System).

      3. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated December 19, 2015 no. 224 "On amendments and additions to certain regulatory legal acts of the Republic of Kazakhstan" (registered in the Register of State Registration of Regulatory Legal Acts as no.12970, published on March 1, 2016 in "Adilet" Information and Legal System).

      4. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated January 28, 2016 no. 55 " On amendments and additions to the Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 no. 144 "On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan" (registered in the Register of State Registration of Regulatory Legal Acts as no. 13219, published on February 29, 2016 in "Adilet" Information and Legal System).

      5. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated November 28, 2016 no. 269 "On certain issues of currency regulation and currency control" (registered in the Register of State Registration of Regulatory Legal Acts as no. 14564, published on December 28, 2016 in "Adilet" Information and Legal System).

      6. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated September 27, 2017 no. 188 "On amendments and additions to the Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 no. 144 "On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan" (registered in the Register of State Registration of Regulatory Legal Acts as no. 16162, published on January 4, 2018 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan).

      7. Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated August 27, 2018 no. 183 " On amendments and additions to the Decree of the Managing Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 no. 144 " On approval of the Rules for arrangement of currency transactions with foreign currency in cash in the Republic of Kazakhstan" (registered in the Register of State Registration of Regulatory Legal Acts as no. 17677, published on November 8, 2018 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan).


Дата вступления в силу:  04.06.2020
Дата изменения акта:  04.02.2023
Дата принятия акта:  04.04.2019
Место принятия:  100055000000
Орган, принявший акт:  117000000000
Регион действия:  100000000000
Регистрационный номер акта в Государственном реестре нормативных правовых актов Республики Казахстан:  130726
Регистрационный номер НПА, присвоенный нормотворческим органом:  49
Статус акта:  upd
Сфера правоотношений:  006007000000
Форма акта:  ПОСТ / ПРАВ
Юридическая сила:  1500
Язык акта:  eng