On approval of the Rules for issuing a permit for voluntary reorganization of the Bank (banking holding) or refusal to issue a permit, issue a permit to convert a bank into an Islamic bank and refusal to issue a permit, issue a permit to voluntarily liqui

Resolution of the Board of the Agency of the Republic of Kazakhstan on Regulation and Development of the Financial Market No. 31 dated March 30, 2020. Registered with the Ministry of Justice of the Republic of Kazakhstan on March 31, 2020, No. 20241.

      Unofficial translation

      Footnote. It became invalid by Resolution No. 58 of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated 23.08.2022 (effective ten calendar days after the date of its official publication).

      In accordance with the laws of the Republic of Kazakhstan dated July 2, 2003 “About the securities market", Dated March 19, 2010"About government statistics", Dated April 15, 2013"About public services". The Board of the Agency of the Republic of Kazakhstan on Regulation and Development of the Financial Market DECIDES:

      1. Approve the attached rules issuance of permission for the issue and (or) placement of equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state, notification of the issue of depositary receipts or other securities, the underlying asset of which is equity securities of resident organizations of the Republic of Kazakhstan, as well as submission of a report on the results of their placement.

      2. To declare invalid:

      1) decree of the Board of the National Bank of the Republic of Kazakhstan dated April 8, 2019 No. 57 "On approval of the Rules for issuing permission for the issue and (or) placement of equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state, notification of the issue of depositary receipts or other securities, the underlying asset which are equity securities of resident organizations of the Republic of Kazakhstan, as well as submission of a report on the results of their placement" (registered in the Register of State Registration of Regulatory Legal Acts of the Republic of Kazakhstan under No. 18674, published in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan on May 24, 2019);

      2) point 16 The list of regulatory legal acts of the Republic of Kazakhstan on the securities market and pension provision, which are amended, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 262 "On amendments to some regulatory legal acts of the Republic of Kazakhstan on the securities market and pension provision ”(registered in the Register of State Registration of Regulatory Legal Acts of the Republic of Kazakhstan under No. 19864, published in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan on January 13, 2020).

      3. The Department of the Securities Market, in accordance with the procedure established by the legislation of the Republic of Kazakhstan, shall ensure:

      1) jointly with the Legal Department, state registration of this resolution with the Ministry of Justice of the Republic of Kazakhstan;

      2) posting this resolution on the official Internet resource of the Agency of the Republic of Kazakhstan for the Regulation and Development of the Financial Market after its official publication;

      3) within ten working days after the state registration of this resolution, the submission to the Legal Department of information on the implementation of the measures provided for in subparagraph 2) of this paragraph and paragraph 4 of this resolution.

      4. The Department of International Relations and External Communications shall ensure, within ten calendar days after the state registration of this resolution, the sending of a copy of it for official publication in periodicals.

      5. Control over the implementation of this resolution shall be entrusted to the supervising Deputy Chairman of the Agency of the Republic of Kazakhstan for the Regulation and Development of the Financial Market.

      6. This resolution shall be enforced upon the expiration of ten calendar days after the day of its first official publication.

      Agency Chairman
Of the Republic of Kazakhstan on regulation
and the development of the financial market
M. Abylkasymova

      "AGREED"
Statistics Committee of the Ministry of National
economy of the Republic of Kazakhstan
2020

      "AGREED"
Ministry of Digital Development,
innovation and aerospace
Republic of Kazakhstan
2020

  Approved by decree
Agency Board
Republic of Kazakhstan
on regulation and development
financial market
dated March 30, 2020 No. 37

Rules
for issuing a permit for the issue and (or) placement of equity securities of a resident organization of the Republic of Kazakhstan
on the territory of a foreign state, notifications of the issue of depositary receipts or other securities, the underlying asset of which is equity
securities of resident organizations of the Republic of Kazakhstan, as well as the submission of a report on the results of their placement

Chapter 1. General Provisions

      1. These Rules for issuing a permit for the issue and (or) placement of equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state, notifications of the issue of depositary receipts or other securities, the underlying asset of which is equity securities of resident organizations of the Republic of Kazakhstan, and also submission of a report on the results of their placement (hereinafter referred to as the Rules) was developed in accordance with the laws of the Republic of Kazakhstan dated July 2, 2003 "On the securities market" (Hereinafter - the Law) and dated April 15, 2013 "About public services" (Hereinafter referred to as the Law on Public Services).

      2. The rules establish the conditions and procedure for issuing authorized body on regulation, control and supervision of the financial market and financial organizations (hereinafter referred to as the authorized body) permits for the issue and (or) placement of equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state, as well as the procedure for notification of the issue of depositary receipts or other securities, the basic asset of which are equity securities of organizations-residents of the Republic of Kazakhstan, as well as submission of a report on the results of their placement.

      3. The concepts used in the Rules are applied in the meanings specified in the Law, The law Of the Republic of Kazakhstan dated January 7, 2003 "On an electronic document and electronic digital signature" and The law about government services.

Chapter 2.
Conditions and procedure for issuing a permit for the issue and (or) placement of equity securities
of a resident organization of the Republic of Kazakhstan on the territory of a foreign state

      4. A resident organization of the Republic of Kazakhstan shall issue and (or) place equity securities on the territory of a foreign state, subject to the appropriate permission of the authorized body, subject to the conditions established paragraph 1 article 22-1 of the Law.

      5. To obtain permission to issue and (or) place equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state, an organization-resident of the Republic of Kazakhstan, within 45 (forty-five) calendar days after the date of adoption by the body of a resident organization of the Republic of Kazakhstan, a corresponding decision shall submit to the authorized body through web portal "Electronic government" www.egov.kz, www.elicense.kz (hereinafter referred to as the portal) application in the form according to applications 1 and / or 2 to the Rules (hereinafter referred to as the application), with the attachment of documents specified in the standards for the provision of public services "Issuance of a permit for the issue of equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state" in accordance with Appendix 3 to the Rules and (or) "Issuance of a permit for the placement of equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state" in accordance with Appendix 4 to the Rules (hereinafter - public service).

      When a resident organization of the Republic of Kazakhstan sends an application through the portal, the status of acceptance of a request for the provision of a public service is automatically displayed in the "personal account", indicating the date and time of receipt of the result.

      6. The basis for starting the procedure (action) for the provision of public services is the receipt by the authorized body from a resident organization of the Republic of Kazakhstan of the documents provided for in Appendix 3 and (or) 4 to the Rules.

      7. An employee of the authorized body authorized to receive and register correspondence, on the day of receipt of the application, shall receive it, register and send it for execution to the unit of the authorized body responsible for the provision of public services (hereinafter referred to as the Responsible unit). When a resident organization of the Republic of Kazakhstan applies after the end of working hours, on weekends and holidays, in accordance with the Labor Code of the Republic of Kazakhstan, documents shall be accepted on the next working day.

      An employee of the responsible unit within 2 (two) working days from the date of registration of the application shall check the completeness of the submitted documents.

      When establishing the fact of the incompleteness of the submitted documents, the employee of the responsible unit within the specified period shall prepare and send to the resident organization of the Republic of Kazakhstan a reasoned refusal to further consider the application.

      If the resident organization of the Republic of Kazakhstan and the documents submitted for receiving the public service comply with the requirements of the Law and the Rules, the employee of the responsible unit shall send the resident organization of the Republic of Kazakhstan to the "personal account" in the form of an electronic document certified by the electronic digital signature of the authorized person of the authorized body the result of the provision public service:

      permission to issue equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state in the form in accordance with Annex 5 to the Rules;

      and (or) permission to place issue-grade securities of an organization-resident of the Republic of Kazakhstan on the territory of a foreign state in the form in accordance with Annex 6 to the Rules.

      When identifying grounds for refusing to provide a public service, the authorized body shall notify the resident organization of the Republic of Kazakhstan of the preliminary decision to refuse to provide the public service, as well as the time and place (method) of the hearing to provide the resident organization of the Republic of Kazakhstan with the opportunity to express a position on the preliminary decision.

      Notification of the hearing shall be sent at least 3 (three) working days before the end of the term for the provision of the public service. The hearing shall be held no later than 2 (two) working days from the date of notification.

      Based on the results of the hearing, the employee of the responsible unit shall send to the resident organization of the Republic of Kazakhstan in the "personal account" in the form of an electronic document certified by the electronic digital signature of the authorized person of the authorized body the result of the provision of the public service:

      permission to issue equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state in the form in accordance with Annex 5 to the Rules;

      and (or) permission to place issue-grade securities of an organization-resident of the Republic of Kazakhstan on the territory of a foreign state in the form in accordance with Annex 6 to the Rules;

      or a motivated refusal to provide a public service.

      Footnote. Paragraph 7 is in the wording of the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated December 13, 2021 No. 104 (shall come into effect ten calendar days after the day of its first official publication).

      8. Information on the stage of the provision of public services is updated automatically in the information system for monitoring the provision of public services.

      9. In order to implement the requirements paragraph 6 Article 22-1 of the Law, a resident organization of the Republic of Kazakhstan shall submit to the authorized body information on the results of the placement of equity securities in the form in accordance with Appendix 7 to the Rules within 15 (fifteen) calendar days from the date of completion of the placement of equity securities.

      Information on the results of the placement of equity securities is signed by the first head of the resident organization of the Republic of Kazakhstan or by a person replacing him (with the presentation of a copy of the confirming document).

      Information on the results of the placement of emissive securities, consisting of several sheets, is presented numbered, stitched and certified by the signature of the first head of the resident organization of the Republic of Kazakhstan or the person replacing him (with the presentation of a copy of the confirming document), on the back of the last sheet, partially over the label pasted to the stitching unit, indicating the number of stitched sheets.

      10. In the event of a simultaneous issue and (or) placement of equity securities of a resident organization of the Republic of Kazakhstan and (or) derivative securities, the underlying asset of which is these securities, on territory International Financial Center "Astana", the requirements of the Rules are applied subject to the norms Articles 16-3 The Law of the Republic of Kazakhstan dated August 31, 1995 "On banks and banking activities in the Republic of Kazakhstan" and Articles 22-1 Of the law.

      11. Consideration of a complaint regarding the provision of public services shall be carried out by a higher official of the authorized body, the authorized body for assessing and monitoring the quality of the provision of public services, taking into account the specifics provided for in Article 25 of the Law on Public Services.

      A complaint shall be filed with the authorized body and (or) an official of the authorized body, whose decision, or action (inaction) shall be appealed.

      Unless otherwise provided by the Law, the Law on Public Services, an appeal to the court shall be carried out after an appeal in the pre-trial procedure.

      Footnote. Paragraph 11 is in the wording of the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated December 13, 2021 No. 104 (shall come into effect ten calendar days after the day of its first official publication).

      12. A complaint sent to the head of the authorized body by a resident organization of the Republic of Kazakhstan shall indicate its name, postal address, outgoing number and date.

      Confirmation of the acceptance of the complaint by the head of the authorized body is its registration (stamp, incoming number and date) in the office of the authorized body indicating the name and initials of the person who accepted the complaint, the time period and place for receiving a response to the submitted complaint.

      When contacting through the portal, information on the appeal procedure can be obtained by phone a single contact center: 8-800-080-7777 or 1414.

      When sending a complaint through the portal of a resident organization of the Republic of Kazakhstan from the "personal account", information about the complaint is available, which is updated during the processing of the complaint by the authorized body (notes on delivery, registration, execution, response on consideration or refusal to consider).

Chapter 3.
The procedure for notification of the issue of depositary receipts or other securities, the underlying asset
of which is issue-grade securities, as well as submission of a report on the results of their placement

      13. The holder of equity securities by signing a document of accession to the document defining the conditions for the issue of depositary receipts and (or) other securities, the underlying asset of which is equity securities of a resident organization of the Republic of Kazakhstan, shall, within a month after the date of the relevant decision, submit to the authorized body, a notification drawn up in any form indicating:

      1) the name of the resident organization of the Republic of Kazakhstan, whose equity securities are the basic asset of depository receipts or other securities planned for issue;

      2) information on equity securities of a resident organization of the Republic of Kazakhstan, which are the underlying asset of depositary receipts or other securities planned for issue (type, international identification number (ISIN code) (if any), quantity, price for these equity securities on the organized securities market as of the end of the month preceding the submission of the notification);

      3) information about the depositary receipts or other securities planned to be issued, the underlying asset of which is the issue-grade securities of a resident organization of the Republic of Kazakhstan (type, terms of issue, the state, in accordance with the legislation of which the issue is planned, currency of the issue, underwriters of resident organizations of the Republic Kazakhstan, as well as the presentation of the issue and other essential conditions of the issue, which the holder of equity securities considers necessary to inform).

      14. Attached to the notification:

      1) a copy of the decision of the body of the holder of equity securities on the issue of depositary receipts or other securities, the basic asset of which is equity securities of a resident organization of the Republic of Kazakhstan (for legal entities);

      2) an extract from the personal account of the holder of emissive securities on the availability of emissive securities, which will be the underlying asset of the depositary receipts planned for issue, or other securities, the basic asset of which are emissive securities of a resident organization of the Republic of Kazakhstan, as of the date of acceptance release decisions;

      3) a copy of the document defining the conditions for the issue of depositary receipts or other securities, the underlying asset of which are equity securities of a resident organization of the Republic of Kazakhstan, with a notarized attachment witnessed translation into Kazakh and Russian languages (if this document was not previously submitted to the authorized body by a resident organization of the Republic of Kazakhstan, whose equity securities are the underlying asset of depositary receipts or other securities).

      15. A resident organization of the Republic of Kazakhstan, which has placed depositary receipts or other securities, the underlying asset of which are equity securities of a resident organization of the Republic of Kazakhstan, within 1 (one) month from the date of completion of the placement, shall submit to the authorized body a report on the results of the placement of depository receipts or other securities, the underlying asset of which are equity securities of a resident organization of the Republic of Kazakhstan, in the form in accordance with Appendix 8 to the Rules and a copy of the document providing order providing information on holders of depositary receipts central depository and the authorized body.

      Information about the holders of depositary receipts, drawn up in any form, is submitted by a resident organization of the Republic of Kazakhstan to the authorized body no later than the 10th (tenth) business day of the month following the reporting half-year, on an electronic medium.

      16. The holder of equity securities or a resident organization of the Republic of Kazakhstan shall submit the originals of the documents specified in paragraphs 13, fourteen and fifteen Of the Rules, or their copies, certified by the signature of the head or the person replacing him (with the presentation of a copy of the confirming document), indicating that the copy is correct.

      If each submitted document consists of one sheet, then it is signed by the first head or the person replacing him (with the presentation of a copy of the confirming document). Documents consisting of several sheets are presented numbered, stitched and certified by the signature of the first manager or a person authorized to sign (with a copy of the supporting document), on the back of the last sheet, partially over the label glued to the sewing unit, indicating the number of stitched sheets.

  Appendix 1
to the Rules issuing a release permit and
(or) placement of emission organization's securities
resident of the Republic of Kazakhstan on the
territory of a foreign states, notifications
on the issue of depository receipts or other valuable
securities, underlying asset which are emission
securities of organizations residents
of the Republic Kazakhstan as well
reporting on results their placement
  The form

Application for issuance of a permit for the issue of equity securities on the territory of a foreign state

      According to article 22-1 Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market"

      _________________________________________________________________________
                        (name and address of the service recipient)

      asks for permission to issue equity securities on the territory of a foreign state and provides the following information:


Information to fill out

1.

Type of issue-grade security


2.

Sector (category) of the official list of the stock exchange operating in the territory of the Republic of Kazakhstan


3.

Information on the execution or untimely execution or non-fulfillment of the conditions for the issue of equity securities


4.

Information on cases of delisting of equity securities


5.

Amount of leverage


6.

Information on compliance or non-compliance with prudential standards and other mandatory standards and limits established by the banking legislation of the Republic of Kazakhstan


      Note:

      1. Clause 3 specifies information on equity securities in circulation, with the exception of shares.

      2. Clause 4 shall indicate information on equity securities in circulation, with the exception of shares and voluntary delisting of bonds in case of consent of the bondholders.

      3. Clause 5 indicates information on the results of the last quarter preceding the submission to the authorized body for regulation, control and supervision of financial market and financial organizations (hereinafter - the authorized body) of documents for obtaining this permission, with the exception of a bank, an organization that carries out certain types of banking operations and national management holding.

      The amount of leverage is indicated by a resident organization of the Republic of Kazakhstan, which owns fifty or more percent of shares (stakes in the authorized capital) of a legal entity created in accordance with the legislation of a foreign state, the place of effective management (actual management bodies) of which is in the Republic of Kazakhstan, and (or) acting as a guarantor, including a joint guarantor, for the obligations of this legal entity (with the exception of a bank, an organization carrying out certain types of banking operations and a national managing holding).

      4. Clause 6 specifies information as of the reporting date preceding the date of submission of documents for obtaining permission and for the period three months before the date of submission of documents (to be filled in by the bank and the organization carrying out certain types of banking operations).

      The first head (the person authorized to sign) of the resident organization of the Republic of Kazakhstan ensures the accuracy of the information contained in the documents submitted to the authorized body, and also provides consent to the use of information constituting a secret protected by law contained in information systems.

      First head (person authorized to sign)

      Electronic digital signature

  Appendix 2
to the Rules issuing a release permit and
(or) placement of emission organization's securities
resident of the Republic of Kazakhstan on the
territory of a foreign states, notifications
on the issue of depository receipts or other valuable
securities, underlying asset which are emission
securities of organizations residents
of the Republic Kazakhstan as well
reporting on results their placement
  The form

Application for the issuance of a permit for the placement of equity securities on the territory of a foreign state

      According to article 22-1 Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market"

      _________________________________________________________________________
                        (name and address of the service recipient)

      asks to issue a permit for the placement of equity securities on the territory of a foreign state and provides the following information:


Information to fill out

1.

Type of issue-grade security


2.

Sector (category) of the official list of the stock exchange operating in the territory of the Republic of Kazakhstan


3.

Information on the execution or untimely execution or non-fulfillment of the conditions for the issue of equity securities


4.

Information on cases of delisting of equity securities


5.

Amount of leverage


6.

Information on compliance or non-compliance with prudential standards and other mandatory standards and limits established by the banking legislation of the Republic of Kazakhstan


      Note:

      1. Clause 3 specifies information on equity securities in circulation, with the exception of shares.

      2. Clause 4 shall indicate information on equity securities in circulation, with the exception of shares and voluntary delisting of bonds in case of consent of the bondholders.

      3. Clause 5 indicates information on the results of the last quarter preceding the submission to the authorized body for regulation, control and supervision of financial market and financial organizations (hereinafter - the authorized body) of documents for obtaining this permission, with the exception of a bank, an organization that carries out certain types of banking operations and national management holding.

      The amount of leverage is indicated by a resident organization of the Republic of Kazakhstan, which owns fifty or more percent of shares (stakes in the authorized capital) of a legal entity created in accordance with the legislation of a foreign state, the place of effective management (actual management bodies) of which is in the Republic of Kazakhstan, and (or) acting as a guarantor, including a joint guarantor, for the obligations of this legal entity (with the exception of a bank, an organization carrying out certain types of banking operations and a national managing holding).

      4. Clause 6 specifies information as of the reporting date preceding the date of submission of documents for obtaining permission and for the period three months before the date of submission of documents (to be filled in by the bank and the organization carrying out certain types of banking operations).

      The first head (the person authorized to sign) of the resident organization of the Republic of Kazakhstan ensures the accuracy of the information contained in the documents submitted to the authorized body, and also provides consent to the use of information constituting a secret protected by law contained in information systems.

      First head (person authorized to sign)

      Electronic digital signature

  Appendix 3
to the Rules issuing a release permit and
(or) placement of emission organization's securities
resident of the Republic of Kazakhstan on the
territory of a foreign states, notifications
on the issue of depository receipts or other valuable
securities, underlying asset which are emission
securities of organizations residents
of the Republic Kazakhstan as well
reporting on results their placement

State service standard "Issuance of a permit for the issue of equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state"

1

Service Provider Name

Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market

2

Methods of providing public services

Web portal of "electronic government" www.egov.kz, www.elicense.kz (hereinafter referred to as the portal).

3

The term for the provision of public services

8 (eight) business days from the date of submission of the full package of documents.

4

Form of provision of public services

Electronic (fully automated).

5

The result of the provision of public services

Issuance of a permit for the issue of equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state, or a reasoned response to refuse to provide a public service.
The form of providing the result of the provision of public services: electronic.

6

The amount of payment charged from the service recipient when rendering a public service, and methods of collecting it in the cases provided for by the legislation of the Republic of Kazakhstan

The state service is provided free of charge.

7

Schedule

1) the portal - around the clock, with the exception of technical breaks in connection with the repair work (when the service recipient applies after the end of working hours, on weekends and holidays in accordance with Labor Code Of the Republic of Kazakhstan dated November 23, 2015 (hereinafter - the Code), the acceptance of applications and the issuance of the results of the provision of public services is carried out on the next business day).
2) the authorized body - from Monday to Friday from 9.00 to 18.30 hours with a lunch break from 13.00 to 14.30 hours, except weekends and holidays, in accordance with the Code.

8

List of documents required for the provision of public services

1) an application for the issuance of a permit for the issue of equity securities in the territory of a foreign state in the form in accordance with Appendix 1 to the Rules;
2) an electronic copy of the decision of the body of a resident organization of the Republic of Kazakhstan on the issue of equity securities on the territory of a foreign state, indicating the following information:
full name of the resident organization of the Republic of Kazakhstan;
the name of the state (states), in accordance with the legislation of which (which) the issue of equity securities of a resident organization of the Republic of Kazakhstan will be carried out, indicating the name of the provisions and rules in accordance with which the issue of equity securities will be carried out;
type of issued securities, availability and type of collateral or guarantee with an indication of the guarantor, par value or placement price (if applicable) and international identification number (ISIN code) (if any);
the estimated volume and currency of the issue;
the rights conferred by this equity security;
the procedure for calculating and paying remuneration for these equity securities, the frequency of payment, as well as information related to the essential conditions for the issue of equity securities provided for in the prospectus for the issue of equity securities;
submission of an offer for the purchase of shares or derivative securities, the underlying asset of which are shares of a resident organization of the Republic of Kazakhstan, at least twenty percent of the total number of these shares through the organized securities market of the Republic of Kazakhstan;
the conditions for the issue of debt securities contain provisions that debt securities can be forcibly restructured if the authorized body applies measures to resolve an insolvent bank (indicated by a resident bank of the Republic of Kazakhstan issuing and (or) placing debt securities on the territory of a foreign state, or if the terms of issue of debt securities on the territory of a foreign state provide for the provision of a guarantee of a bank-resident of the Republic of Kazakhstan);
the conditions for the issue of debt securities contain provisions stating that holders of debt securities do not have the right to demand early fulfillment of obligations to them if measures are applied to an insolvent bank to resolve it (indicated by a resident bank of the Republic of Kazakhstan that issues and (or) placement of debt securities on the territory of a foreign state, or if the terms of issue of debt securities on the territory of a foreign state provide for the provision of a guarantee of a bank-resident of the Republic of Kazakhstan);
3) a document of a stock exchange operating in the territory of the Republic of Kazakhstan, confirming the presence of securities in the following sectors (categories) of the official list of the stock exchange:
issue of bonds registered by the authorized body - in the category "bonds" of the sector "debt securities" of the platform "Main", or in the category of "bonds" of the sector "debt securities" of the platform "Alternative";
issue of shares registered by the authorized body - in the "premium" category of the "shares" sector of the "Main" site, or in the "standard" category of the "shares" sector of the "Main" site, or in the "shares" sector of the "Alternative" site;
or a document of a stock exchange operating in the territory of the Republic of Kazakhstan, confirming consent to the inclusion of securities planned for issue in accordance with the legislation of a foreign state in the following sectors (categories) of the official list of the stock exchange:
issue of bonds - into the category “bonds” of the “debt securities” sector of the “Main” platform of the official list of the stock exchange operating in the territory of the Republic of Kazakhstan;
issue of shares - into the “premium” category of the “shares” sector of the “Main” site, or into the “standard” category of the “shares" sector of the “Main” site, or into the “shares” sector of the “Alternative” site of the official list of the stock exchange operating on the territory of the Republic of Kazakhstan.
The documents specified in subparagraph 2) of paragraph 8 of this public service standard, in the form of an electronic document, are attached to the application for permission to issue equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state in the form of electronic copies of documents in PDF format.
The authorized body receives information about the state registration (re-registration) of a legal entity from the relevant state information systems through the gateway of "electronic government".

9

Grounds for refusal to provide public services established by the legislation of the Republic of Kazakhstan

The grounds are provided paragraph 7 articles 22-1 of the Law, namely:
1) failure to comply with the conditions provided for paragraph 4 articles 22-1 of the Law;
2) submission of an incomplete package of documents established by paragraph 8 of this standard of public service;
3) non-compliance of the submitted documents with the requirements established by the Rules.

10

Other requirements, taking into account the specifics of the provision of public services

The address of the place for the provision of public services and contact numbers of reference services on the provision of public services are posted on the official Internet resource of the authorized body and the portal www.egov.kz. A single contact center for the provision of public services: 8-800-080-7777, 1414.
The service recipient has the opportunity to receive information about the procedure and status of the provision of public services in remote access mode through the "personal account" of the portal, as well as a single contact center for the provision of public services.

  Appendix 4
to the Rules issuing a release permit and
(or) placement of emission organization's securities
resident of the Republic of Kazakhstan on the
territory of a foreign states, notifications
on the issue of depository receipts or other valuable
securities, underlying asset which are emission
securities of organizations residents
of the Republic Kazakhstan as well
reporting on results their placement

State service standard "Issuance of a permit for placement of equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state"

1

Service Provider Name

Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market

2

Methods of providing public services (access channels)

Web portal of "electronic government" www.egov.kz, www.elicense.kz (hereinafter referred to as the portal).

3

The term for the provision of public services

8 (eight) business days from the date of submission of the full package of documents.

4

Form of provision of public services

Electronic (fully automated).

5

The result of the provision of public services

Issuance of a permit for the placement of equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state, or a reasoned response to refuse to provide a public service.
The form of providing the result of the provision of public services: electronic.

6

The amount of payment charged from the service recipient when rendering a public service, and methods of collecting it in the cases provided for by the legislation of the Republic of Kazakhstan

The state service is provided free of charge.

7

Schedule

1) the portal - around the clock, with the exception of technical breaks in connection with the repair work (when the service recipient applies after the end of working hours, on weekends and holidays in accordance with Labor Code Of the Republic of Kazakhstan dated November 23, 2015 (hereinafter - the Code), the acceptance of applications and the issuance of the results of the provision of public services is carried out on the next business day).
2) the authorized body - from Monday to Friday from 9.00 to 18.30 hours with a lunch break from 13.00 to 14.30 hours, except weekends and holidays, in accordance with the Code.

8

List of documents required for the provision of public services

1) an application for the issue of a permit for the placement of equity securities on the territory of a foreign state in the form of an electronic document in accordance with Appendix 2 to the Rules;
2) an electronic copy of the decision of the body of a resident organization of the Republic of Kazakhstan on the placement of equity securities on the territory of a foreign state, indicating the following information:
full name of the resident organization of the Republic of Kazakhstan;
the name of the state (states) on the territory of which (which) the placement of equity securities of a resident organization of the Republic of Kazakhstan will be carried out;
the type of issued securities to be placed, the availability and type of collateral or guarantee with an indication of the guarantor, the par value or the offering price (if applicable) and the international identification number (ISIN code) (if any);
the estimated volume and currency of the issue;
the rights conferred by this equity security;
the procedure for calculating and paying remuneration for these equity securities, the frequency of payment, as well as information related to the essential conditions for the issue of equity securities provided for in the prospectus for the issue of equity securities;
providing an offer for the purchase of bonds through the organized securities market of the Republic of Kazakhstan on the same placement conditions as when they are placed on the territory of a foreign state;
submission of an offer for the purchase of shares or derivative securities, the underlying asset of which are shares of a resident organization of the Republic of Kazakhstan, at least twenty percent of the total number of these shares through the organized securities market of the Republic of Kazakhstan;
the conditions for the issue of debt securities contain provisions that debt securities can be forcibly restructured if the authorized body applies measures to resolve an insolvent bank (indicated by a resident bank of the Republic of Kazakhstan issuing and (or) placing debt securities on the territory of a foreign state,or if the terms of issue of debt securities on the territory of a foreign state provide for the provision of a guarantee of a bank-resident of the Republic of Kazakhstan);
the conditions for the issue of debt securities contain provisions stating that holders of debt securities do not have the right to demand early fulfillment of obligations to them if measures are applied to an insolvent bank to resolve it (indicated by a resident bank of the Republic of Kazakhstan that issues and (or) placement of debt securities on the territory of a foreign state, or if the terms of issue of debt securities on the territory of a foreign state provide for the provision of a guarantee of a bank-resident of the Republic of Kazakhstan);
3) a document of a stock exchange operating in the territory of the Republic of Kazakhstan, confirming the presence of securities in the following sectors (categories) of the official list of the stock exchange:
issue of bonds registered by the authorized body - in the category "bonds" of the sector "debt securities" of the "Main" site, or in the category of "bonds" of the sector "debt securities" of the "Alternative" site;
issue of shares registered by the authorized body - in the "premium" category of the "shares" sector of the "Main" site, or in the "standard" category of the "shares" sector of the "Main" site, or in the "shares" sector of the "Alternative" site;
or a document of a stock exchange operating in the territory of the Republic of Kazakhstan, confirming consent to the inclusion of securities planned for issue in accordance with the legislation of a foreign state in the following sectors (categories) of the official list of the stock exchange:
issue of bonds - into the category “bonds” of the “debt securities” sector of the “Main” platform of the official list of the stock exchange operating in the territory of the Republic of Kazakhstan;
issue of shares - into the “premium” category of the “shares” sector of the “Main” site, or into the “standard” category of the “shares" sector of the “Main” site, or into the “shares” sector of the “Alternative” site of the official list of the stock exchange operating on the territory of the Republic of Kazakhstan;
4) a resident organization of the Republic of Kazakhstan for obtaining a permit for the placement of equity securities in the territory of a foreign state, the issue of which is registered as of the date of submission of documents for obtaining a permit for placement, in addition to the documents specified in this paragraph, submits information for obtaining a permit for the placement of equity securities securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state in accordance with the appendix to this standard of public service;
5) an organization-resident of the Republic of Kazakhstan to obtain a permit for the placement of derivative securities, the underlying asset of which are the issued securities of a resident organization of the Republic of Kazakhstan, on the territory of a foreign state, within 45 (forty-five) calendar days after the date of the relevant decision , in addition to the documents specified in this clause, submits to the authorized body an extract of the central securities depository from the personal account of the declared equity securities with the central depository on the availability of equity securities, which will be the underlying asset of the issued equity securities, as of the date of the decision on the placement of derivatives valuable papers.
The documents specified in subparagraphs 2) (in the form of an electronic document), 3), 4) and 5) (in the form of electronic copies of documents in PDF format) of paragraph 8 of this public service standard are attached to the application for issuing a permit for the placement of equity securities of the service recipient on the territory of a foreign state, drawn up in the form of an electronic document.
The authorized body receives information about the state registration (re-registration) of a legal entity from the relevant state information systems through the gateway of "electronic government".

9

Grounds for refusal to provide public services established by the legislation of the Republic of Kazakhstan

The grounds are provided paragraph 7 articles 22-1 of the Law, namely:
1) failure to comply with the conditions provided for paragraph 4 articles 22-1 of the Law;
2) submission of an incomplete package of documents established by paragraph 8 of this standard of public service;
3) non-compliance of the submitted documents with the requirements established by the Rules.

10

Other requirements, taking into account the specifics of the provision of public services

The address of the place for the provision of public services and contact numbers of reference services on the provision of public services are posted on the official Internet resource of the authorized body and the portal www.egov.kz. A single contact center for the provision of public services: 8-800-080-7777, 1414.
The service recipient has the opportunity to receive information about the procedure and status of the provision of public services in remote access mode through the "personal account" of the portal, as well as a single contact center for the provision of public services.

  Appendix
to the standard public service
"Issuance of a permit for placement
of emission organization's securities resident
of the Republic Kazakhstan on the
territory foreign state "

Information for obtaining permission to place equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state

      1. The name of the resident organization of the Republic of Kazakhstan with an indication of the organizational and legal form.

      2. The name of the body of a foreign state that registered the issue of equity securities of a resident organization of the Republic of Kazakhstan, indicating the number and date of registration.

      3. Name of the stock exchange, in accordance with the rules of which the placement of equity securities of a resident organization of the Republic of Kazakhstan will be carried out.

      4. The name of the provisions and rules in accordance with which the placement of equity securities of a resident organization of the Republic of Kazakhstan will be carried out.

      5. International identification number (ISIN code).

      6. Currency and form of issue of equity securities.

      7. Total volume of the issue, par value of equity securities of a resident organization of the Republic of Kazakhstan.

      8. Terms of circulation and placement, conditions for determining the price of placement on the territory of a foreign state of equity securities of a resident organization of the Republic of Kazakhstan.

      9. Information about the paying agent.

      10. The procedure for the redemption of equity securities of a resident organization of the Republic of Kazakhstan, the estimated maturity date.

      11. Sources, contact details for obtaining information on the terms of issue of equity securities of a resident organization of the Republic of Kazakhstan.

      The first head (the person authorized to sign) of the resident organization of the Republic of Kazakhstan ensures the accuracy of the information contained in the documents submitted to the authorized body.

      First head (person authorized to sign)

      Electronic digital signature

  Appendix 5
to the Rules issuing a release permit and
(or) placement of emission organization's securities
resident of the Republic of Kazakhstan on the
territory of a foreign states, notifications
on the issue of depository receipts or other valuable
securities, underlying asset which are emission
securities of organizations residents
of the Republic Kazakhstan as well
reporting on results their placement
  The form

Permission to issue equity securities of a resident organization of the Republic of Kazakhstan on the territory of a foreign state

      The Agency of the Republic of Kazakhstan for the Regulation and Development of the Financial Market allows the issue of equity securities of a resident organization of the Republic of Kazakhstan

      ______________________________________________________________________________________________________________________________________________

            (full name and location)

      in accordance with the law

      _______________________________________________________________________________________________________________________________________________

      (name of the regulations and rules according to which the release will be carried out)

      the following types

      ________________________________________________________________________________________________________________________________________________

      ____________________________________________________________________.___________________________________________________________________________

      (type of securities, total volume of issue, number of depositary receipts or other securities, type of securities that are the underlying asset of depositary receipts

      or other securities, the ratio of the underlying asset to the number of depositary receipts or other securities)

      Authorized person

      Electronic digital signature

  Appendix 6
to the Rules issuing a release permit and
(or) placement of emission organization's securities
resident of the Republic of Kazakhstan on the
territory of a foreign states, notifications
on the issue of depository receipts or other valuable
securities, underlying asset which are emission
securities of organizations residents
of the Republic Kazakhstan as well
reporting on results their placement
  The form

Permission to place equity securities of a resident organization
Of the Republic of Kazakhstan on the territory of a foreign state

      The Agency of the Republic of Kazakhstan for the Regulation and Development of the Financial Market allows

      placement of equity securities of a resident organization of the Republic of Kazakhstan

      ___________________________________________________________________________________

      (full name and location)

      in the territory______________________________________________________________________

      (name of a foreign state)

      the following types

      __________________________________________________________________________________

      _________________________________________________________________________________.

      (type of securities, total volume of issue, number of depositary receipts or other securities, type of securities

      that are the underlying asset of depositary receipts or other securities, the ratio of the underlying asset

      to the number of depositary receipts or other securities)

      Authorized person

      Electronic digital signature

  Appendix 7
to the Rules issuing a release permit and
(or) placement of emission organization's securities
resident of the Republic of Kazakhstan on the
territory of a foreign states, notifications
on the issue of depository receipts or other valuable
securities, underlying asset which are emission
securities of organizations residents
of the Republic Kazakhstan as well
reporting on results their placement

Form for collecting administrative data

      Submitted to: the authorized body for regulation, control and supervision of the financial market and financial organizations

      The administrative data form is posted on the Internet resource: www.finreg.kz

Information on the results of the placement of equity securities

      Administrative data form index: IRPES_7

      Frequency: as posted

      Reporting period: as posted

      The circle of persons providing: organization-resident of the Republic of Kazakhstan

  The form

_________________________________________________________________________
(full name of the resident organization of the Republic of Kazakhstan)

Information on the results of the placement of equity securities

No.

Name of lines

Numeric and alphabetic data

1.

Name of the resident organization of the Republic of Kazakhstan


2.

Organizational and legal form of a resident organization of the Republic of Kazakhstan


3.

Location of a resident organization of the Republic of Kazakhstan


4.

Type of issue-grade security


5.

International Identification Number (ISIN Code)


6.

Nominal value and (or) price of placement of equity securities


7.

Start date of placement


8.

End date of placement


9.

Number of securities offered


10.

Number of securities placed


11.

Amount of attracted money


      Explanations on filling out the administrative data form "Information on the results of the placement of equity securities" are provided

      in the appendix to this form.

      The first head (the person authorized to sign) of the resident organization of the Republic of Kazakhstan ensures the accuracy

      information contained in the information submitted to the authorized body for regulation, control and supervision of the financial market and financial

      organizations documents.

      First head (person authorized to sign) ________ (signature)

      Date of signing "_____" __________ 20_____ year

  Application to the form
information on outcomes
placement of emission
valuable papers

Explanation of filling out the administrative data form "Information on the results
of the placement of equity securities" (index - IRPES_7, frequency - as they are placed)

Chapter 1. General Provisions

      1. This clarification defines uniform requirements for filling out the form intended for collecting administrative data "Information on the results of the placement of equity securities" (hereinafter - the Form).

      2. The form is designed in accordance with paragraph 6 articles 22-1 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the securities market" and paragraph 3 article 16 of the Law of the Republic of Kazakhstan dated March 19, 2010 "On state statistics".

      3. The form is drawn up by a resident organization of the Republic of Kazakhstan.

      4. The form is signed by the first manager or a person authorized to sign.

Chapter 2. Explanation of filling out the Form

      5. The Form shall indicate the name, organizational and legal form and location of the resident organization of the Republic of Kazakhstan.

      6. Columns 4, 5 and 6 shall indicate the type of the equity security, the international identification number (ISIN code) and the par value and (or) the offering price of the equity securities.

      7. Columns 7 and 8 shall indicate the date of the beginning of the placement and the date of the end of the placement of equity securities.

      8. Columns 9, 10 and 11 shall indicate the number of offered securities, the number of placed securities and the amount of attracted money.

  Appendix 8
to the Rules issuing a release permit and
(or) placement of emission organization's securities
resident of the Republic of Kazakhstan on the
territory of a foreign states, notifications
on the issue of depository receipts or other valuable
securities, underlying asset which are emission
securities of organizations residents
of the Republic Kazakhstan as well
reporting on results their placement

Form for collecting administrative data

      Submitted to: the authorized body for regulation, control and supervision of the financial market and financial organizations

      The administrative data form is posted on the Internet resource: www.finreg.kz

Report on the results of placement of depositary acknowledgements or other securities, the underlying
asset of which is emission securities of a resident organization of the Republic of Kazakhstan

      Administrative data form index: RRPDA_8

      Frequency: as posted

      Reporting period: as posted

      The circle of persons providing: organization-resident of the Republic of Kazakhstan

  The form

__________________________________________________________________________
(full name of the resident organization of the Republic of Kazakhstan)
Report on the results of placement of depositary receipts or other securities, the underlying
asset of which are equity securities of a resident organization of the Republic of Kazakhstan

No.

Name of lines

Numeric and alphabetic data

1.

The name of the resident organization of the Republic of Kazakhstan, indicating the organizational and legal form, location and registration data


2.

Date of obtaining permission from the authorized body for the issue and (or) placement of depositary receipts or other securities, the underlying asset of which is equity securities of shares of a resident organization of the Republic of Kazakhstan


3.

International Identification Number (ISIN Code)


4.

Information about securities:
the number, type of depositary receipts or other securities, the basic asset of which are equity securities of a resident organization of the Republic of Kazakhstan, placed on a stock exchange operating in the territory of the Republic of Kazakhstan and a stock exchange operating in a foreign state; placement price


5.

Amount of attracted money


6.

Start date and end date of placement


7.

Name of underwriters (emission consortia)


8.

Name of the accounting organization carrying out confirmation of rights


      Explanations on filling out the administrative data form "Report on the results of placement of depositary receipts or other securities, the underlying asset of which are equity securities of a resident organization of the Republic of Kazakhstan" are provided in the appendix to this form.

      The report on the results of the placement of depositary receipts or other securities, the underlying asset of which is equity securities of a resident organization of the Republic of Kazakhstan, shall be accompanied by information on the holders, indicating the number of depositary receipts, which is submitted on an electronic medium.

      The first head (the person authorized to sign) of the resident organization of the Republic of Kazakhstan ensures the accuracy of the information contained in the documents submitted to the authorized body for regulation, control and supervision of the financial market and financial organizations.

      First head (person authorized to sign) ________ (signature)

      Date of signing "_____" __________ 20_____ year

  Application
to the form placement results report
depositary receipts or other securities, basic
whose assets are equity securities
resident organization
Republic of Kazakhstan

Explanation on filling out the administrative data form
"Report on the results of placement of depositary acknowledgements or other securities, the underlying asset
of which are equity securities of a resident organization of the Republic of Kazakhstan"
(index - RRPDA_8, frequency - as they are placed)
Chapter 1. General Provisions

      1. This clarification defines uniform requirements for filling out a form intended for collecting administrative data "Report on the results of placement of depositary receipts or other securities, the underlying asset of which are equity securities of a resident organization of the Republic of Kazakhstan" (hereinafter - the Form).

      2. The form is designed in accordance with paragraph 2 article 34 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the securities market" and paragraph 3 article 16 of the Law of the Republic of Kazakhstan dated March 19, 2010 "On state statistics".

      3. The form is drawn up by a resident organization of the Republic of Kazakhstan.

      4. The form is signed by the first manager or a person authorized to sign.

Chapter 2. Explanation of filling out the Form

      5. The Form shall indicate the name, organizational and legal form, location and registration data of the resident organization of the Republic of Kazakhstan, the name of the underwriters and the name of the accounting organization that confirms the rights to these securities.

      6. Column 2 indicates the date of obtaining permission from the authorized body for regulation, control and supervision of the financial market and financial organizations for the issue and (or) placement of depositary receipts or other securities, the underlying asset of which is equity securities of a resident organization of the Republic of Kazakhstan.

      7. Column 3 indicates the international identification number (ISIN code).

      8. Column 4 shall indicate information about the securities.

      9. Column 5 indicates the amount of funds raised.

      10. Column 6 shall indicate the start date and the end date of the placement.