Issue of a license to organizations carrying out certain types of banking operations to carry out certain types of banking operations

1. An application for a license to carry out certain types of banking operations (with attached documents confirming the authority of the person to submit the application and the documents and information attached thereto), in which the applicant, among other things, confirms the implementation of all organizational and technical measures related to the planned commencement of its activities.
2. A copy of the document confirming payment to the budget of the license fee for the right to carry out certain banking operations types, with the exception of cases of payment through the digital government payment gateway.
3. A copy of the decision of the relevant body of the service recipient on the planned implementation of certain types of banking operations, as well as a copy of articles of association (notary certified in the event that the original articles of association is not submitted for verification).
4. Information about the shareholder (participant) of an organization carrying out certain types of banking operations, which is a legal entity, in accordance with Appendix 1 to the Qualification Requirements for Conducting Banking Operations by Organizations Carrying Out Certain Types of Banking Operations, as well as the list of documents confirming compliance with the said qualification requirements established in Appendix 2 to this resolution (hereinafter referred to as the Qualification Requirements), as of the date preceding the date of submission of the documents.
5. Information on the executives of an organization carrying out certain types of banking operations, the executives of a shareholder (participant) - a legal entity of an organization carrying out certain types of banking operations, on a shareholder (participant) - an individual in the form according to Appendix 2 to the Qualification Requirements with the attachment of an e-copy of an identity card (for foreigners, stateless persons).
6. A copy of the document certifying that employees of an organization carrying out certain types of banking operations, executives of a shareholder (participant) - a legal entity of an organization carrying out certain types of banking operations, or a shareholder (participant) - an individual have no unexpunged or outstanding criminal record for crimes in their country of citizenship (for foreigners) or in their country of permanent residence (for stateless persons), issued by a government agency of their country of citizenship (their country of permanent residence - for stateless persons).
   If an executive of an organization carrying out certain types of banking operations, an executive of a shareholder (participant) - a legal entity of an organization carrying out certain types of banking operations, or an individual shareholder (participant) has permanently resided outside their country of citizenship for the past 10 years, an electronic copy of the document certifying that they have no unexpunged or outstanding criminal record for crimes in the country where they have permanently resided for the past 10 years shall also be submitted. The date of issue of the specified documents does not exceed three months prior to the date of application (unless a different validity period is specified in the document provided). If the legislation of the country whose government agency is authorized to confirm the absence of an unexpunged or unspent criminal record does not provide for the issuance of supporting documents to individuals for whom the information is requested, then the corresponding confirmation is sent by letter from the government agency of the individual's country of citizenship, the country of permanent residence for the past 10 years (for foreigners), or the country of permanent residence (for stateless persons) to the authorized agency.
7. The applicant's staffing table indicating the last names, first names and patronymics (if any) of the service recipient's executives and employees of the departments carrying out certain types of banking operations.
8. A copy of the development strategy for the next three years, taking into account all planned banking operations, includes information on the applicant's organizational structure, the applicant's budget for the financial year in which the application is submitted, including forecast data on the applicant's compliance with prudential standards for 3 financial (operating) years.
9. Copies of documents confirming payment of the authorized capital, the minimum amount of which is established by the authorized body in accordance with subparagraph 3) of paragraph 1 of Article 5-3 of the Law of the Republic of Kazakhstan "On Mortgage of Real Estate" and Article 5 of the Law of the Republic of Kazakhstan "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations" (the Law on State Regulation).

1. An application in any form justifying the need to issue a duplicate license (with attached documents confirming the authority of the person to submit the application and the documents and information attached thereto).
2. A copy of the document confirming payment of the license fee for the issuance of a duplicate license, except in cases of payment through the digital government payment gateway.

1. An application for re-issue of a license to carry out certain types of banking operations (with attached documents confirming the authority of the person to submit the application and the documents and information attached thereto).
2. Original license (if the previously issued license was issued in hard copy format).
3. A copy of the document confirming payment of the license fee for re-issuing a license, except in cases of payment through the digital government payment gateway.
4. Copies of documents containing information on changes that served as the basis for reissuing the license, with the exception of documents information thereof is contained in the state digital systems.

! It is barred to reject the receipt of an appeal.

1. Once the appeal is submitted, the applicant is issued a receipt containing a unique number, indicating the date and time, last name and initials, and the position of the person who received the appeal.
2. In the case of non-compliance with the requirements established by Article 63 Code, the administrative body and the official shall indicate to the applicant the requirements the appeal does not comply with, and set a reasonable time limit for bringing it into compliance with the requirements.
3. Before a decision is made on the administrative case, the applicant may withdraw the appeal on the basis of his written application.

Referring the appeal to an authorized administrative body and official

An appeal received by an administrative body and official whose authority does not include the consideration of this appeal, within no later than 3 working days from the date of its receipt shall refer it to the authorized administrative body and official, with simultaneous notification of the participant in the administrative procedure.

1. The timeframe of administrative procedure is 15 working days from the date of receipt of an appeal.

! The laws may set the other timeframe for consideration of appeals (For example, according to the Law “On Access to Information” a reply to a written enquiry is provided within fifteen calendar days from the date of receipt of the information by the owner).

2. The period of administrative procedure may be extended by a reasoned decision of the head of the administrative body for not more than 2 months, consistently the participant in the administrative procedure is notified within 3 working days from the date of extension.

A participant in the administrative procedure has the right to file a complaint the administrative action (inaction) related to the adoption of an administrative act.

If an administrative body and official within the timeframe has not adopted an administrative act or committed an administrative action, then commencing from the date of expiry it is considered that the administrative body and official rejected to adopt the administrative act or commit the administrative action.

The complaint is submitted to the administrative body and official whose administrative act and administrative action (inaction) is being appealed.

An appeal to the court is allowed after a pre-trial appeal. If the law provides for the possibility of going to court without the need to appeal to a higher authority, the administrative act, administrative action (inaction) of the administrative body and official is being disputed, along with the revoke, submit to the court a reasoned position of the head of the higher administrative body and official.

! The Administrative Procedure Code not always rules the procedure of complaint; the industry laws may contain statutes indicating the appeal of the decision in the court, without pre-trial appeal.

1. A complaint against an administrative act, administrative action (inaction) is submitted to the administrative body and official no later than 3 months from the day when the participant in the administrative procedure became aware of the adoption of the administrative act or the commitment of an administrative action (inaction).
2. If the deadline is missed for a good reason, at the request of the participant in the administrative procedure, it may be renewed by the body considering the complaint.
3. Missing the deadline for submitting the complaint is not a basis for rejection to receive the complaint by the body considering the complaint.

! Other laws may establish a special procedure and deadlines for appealing the decisions.

The period for consideration of the complaint is 5 working days from the date of receipt of the complaint.

! Other laws may establish a different period for appealing the decisions of administrative bodies.