Меню
The Agency implements state policy aimed at ensuring the functioning and development of the securities market and its infrastructure, monitoring and analysing the condition of the stock market and its participants, protecting the rights and interests of investors, and ensuring transparency and accessibility of information on the activities of securities market entities.
Professional Securities Market Participants
- Brokers and Dealers
- Central Securities Depository
- Portfolio Managers
- Custodian Banks
- Transfer Agents
- Kazakhstan Stock Exchange (KASE)
- Register of Eligible Pension Asset Managers
Consolidated Supervision
Licenses and Authorisations
Executive Competency Testing
- Assessment Questions for Pension Fund Executives
- Assessment Questions for Securities Market Executives
- Testing Webcast
Statistics
Issuers and Securities Issues
- Registered Share Issues
- Registered Bond Issues
- Registered Mutual Funds and Their Management Companies
- Information on the Number of Voting Shares of Joint-Stock Companies
- Information on the Number of Unit Holders of Unit Investment Funds
Financial Sector Performance
- Professional Securities Market Participants
- Accumulative Pension System
- Supervisory Policy Priorities
Sanctions and Enforcement Measures
In accordance with paragraphs 1 and 3 of Article 35 of the Law on Joint Stock Companies, a joint stock company is required to hold an annual general meeting of shareholders, and the annual general meeting of shareholders must be conducted within five months following the end of the financial year. This period is considered extended by up to three months in cases where it is not possible to complete the audit of the company for the reporting period.
Other timeframes for holding the annual general meeting of shareholders, as well as grounds for their extension or postponement, are not provided for by the legislation of the Republic of Kazakhstan.
According to Article 102 of the Law on the Securities Market, during the circulation period of equity securities, the issuer is obliged to disclose information on the Financial Reporting Depository’s internet resource in the manner and within the timeframes established by this Law and the regulatory legal acts of the authorized body.
The list of information subject to mandatory disclosure by issuers is specified in paragraphs 2 and 5 of Article 102 of the Law on the Securities Market.
The procedure for information disclosure by the issuer, the requirements for the content of the information subject to disclosure, as well as the deadlines for disclosure on the internet resource of the Financial Reporting Depository, are established by the Rules for Information Disclosure by the Issuer, the Requirements for the Content of Information Subject to Disclosure by the Issuer, and the Deadlines for Disclosure of Information by the Issuer on the Internet Resource of the Financial Reporting Depository, approved by Resolution No. 189 of the Management Board of the National Bank of the Republic of Kazakhstan dated August 27, 2018.
According to paragraph 1 of Article 3-1 of the Law on the Securities Market, in the event of violations of the legislation of the Republic of Kazakhstan on the securities market and on joint-stock companies, detection of unlawful actions or omissions by the officials of companies, as well as failure to comply with other requirements of the authorized body stipulated by the legislation on the securities market and joint-stock companies, the Agency has the right to apply both limited enforcement measures and bring the issuer to administrative liability.