Issuance of a license to operate in the securities market
Obligatory existence
Obligatory existence of the program technical means and other equipment necessary for implementation of activity in securities market
Issuing Authority:
Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market
Additional Approvals:
Not Required
National tax:
800 Monthly Calculation Index (2 953 600 tenge)
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Selected document:Issuance of a license to operate in the securities market
Are you a resident of the Republic of Kazakhstan?
Processing time:
1
Step 1. Preliminary verification of documents (the personal meeting with the UPPERLICENSE team is obligatory)
List of documents
The copy of the charter (notarially attested in case of non-presentation of the original for verification)
Information about the shareholder
The legalized extract from the trade register or other legalized document with notarially attested translation into the state and Russian languages
Regulations on structural divisions to which functions on implementation of activity in securities market will be assigned
The copy of the staff list with the indication of surnames, names and in the presence of middle names of workers, positions held by them
Copies of the documents confirming payment of authorized capital
For program and technical sradstvo and the equipment (the contract for supply of equipment, the delivery-acceptance certificate of the equipment, the contract for development and (or) delivery of the software with the indication of number of licenses, the delivery-acceptance certificate of the software, documents on the organization of protection and safety)
The balance sheet of an uslugopoluchatel for the end of the last quarter preceding filing of application
Financial statements of an uslugopoluchatel for the last complete year
The business plan for the next three years
Internal rules of implementation of activities for the organization of trade with securities and other financial instruments
Internal rules of implementation of clearing activities for transactions with financial instruments
Term of Registration:
2
work days
Result:No - UPPERLICENSE recommendations for Step No 2.Preliminary verification of documents is undergone
Yes - the client is served by the UPPERLICENSE company and-> transition to the Step 2.
2
Step 2. Payment of the state fee
List of documents
It is not applicable
Term of Registration:
1
work day
Result:A document confirming the payment of the license fee to the budget.
3
Step 3. Submission of documents on obtaining the license (personal presence is not required)
List of documents
Request in electronic form, the uslugopoluchatel certified by the EDS (it is formed electronically) (A form of data)
The documents confirming payment of the minimum amount of authorized capital of the applicant (A form of data)
The legalized extract from the trade register or other legalized document with notarially attested translation into the state and Russian languages certifying that the participant (shareholder) of the applicant - the nonresident of the Republic of Kazakhstan is a legal entity by the legislation of the foreign state and containing information on the body which registered the legal nonresident person, the registration number, date and a place of registration
The documents submitted for coordination of executives according to the legislation of the Republic of Kazakhstan
The copy of the staff list with the indication of surnames, names and in the presence of middle names of workers, positions held by them
Regulations on structural divisions to which functions on implementation of activity in securities market will be assigned
The provision on investment committee, including the information about its structure
The balance sheet of the applicant for the end of the last quarter preceding filing of application
The Business plan for the next three years approved by the board of directors and containing the data specified in Subparagraph 1) of Paragraph 1 of Article 48 of the Law of the Republic of Kazakhstan of July 2, 2003 "About securities market"
The internal rules defining functioning of a risk management system according to requirements of regulations of authorized body
The financial statements of the applicant for the last complete year signed by the first head of government of the applicant and his chief accountant, confirmed with the auditor report, except for the joint-stock companies created in the current year
Information about shareholders (participants) according to appendices 2 and 3 to the standard of public service as of the date preceding date of submission of documents
The electronic copy of the document confirming payment of licensing fee for the right of occupation with separate types of activity at renewal of the license (in the form of the electronic copy of the document), except for payment cases through a payment gateway of "the electronic government" (A form of data)
The electronic copy of the charter (notarially attested in case of non-presentation of originals for verification) (these data are output by receiving from GBD MYU RK) (A form of data)
Term of Registration:
30
work days
Result:The documents are under consideration by the authorized body.
4
Step 4. Receipt of the original set of documents (personal presence is not required)*
List of documents
* Power of attorney / Electronically digital signature (when applicable)
Term of Registration:
1
work day
Result:Original License.
Service Cost:7 120 000 tenge
Pre-Payment:4 984 000 tenge (70% from the sum)
2 payment:2 136 000 tenge (30% from the sum)
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