National Bank agrees revised Regulations on Membership
The Regulations were agreed upon with the National Bank of Republic of
Kazakhstan (National Bank) on December 3, 2014 and are effective as of
December 29, 2014.
The regulations were developed on the basis of the existing same-name internal
document for purposes of:
- defining comprehensive requirements for KASE members with regard to
information disclosure and maximum alignment of such requirements with
information disclosure requirements specified by KASE for listed companies
and clearing participants, as well as with information disclosure
requirements specified by the authorized body for KASE members;
- aligning the Regulations' text with the Rules of Certification of Trading
System Users and Provision to Them of Access to the Trading System;
- specifying the procedures of suspension and resumptions of KASE
membership;
- improving the structure of the Regulations and aligning its text with other
internal document of KASE and the current practice.
The following main additions were made to the Regulations:
- requirements for remote KASE members and candidates for remote members were
defined;
- the procedure of monitoring the financial position of KASE members was
determined
- sanctions applied to KASE members for violating the information disclosure
requirements were included;
- requirement for KASE members to regularly provide a questionnaire regarding
countering legalization (laundering) of revenues obtained illegally, and
countering financing of terrorism;
As of the effective date of the revised Regulations the previous edition of the
Regulations and Procedure of Execution of Monitoring of Members of Kazakhstan
Stock Exchange JSC shall be considered invalid.
The text of the revised Regulations will be published on KASE website soon.
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