To apply for the following documents are required

For legal entities
For individuals
Download documents


For legal entities
  • Copies of constituent documents (notarially attested in case of non-presentation of originals for verification), short data on large participants of the applicant and also on large participants of large participants of the applicant (necessarily , job specifications )
  • The recapitalization plan for each financial institution in cases of possible deterioration of the financial situation of the financial institution, which is made taking into account the obligations of the applicant in accordance with the recapitalization plan of financial organizations, a large participant, bank holding and/or insurance holding of which the applicant is and/or wishes to become (necessarily , job specifications )
  • Summary data on the applicant - a physical person, the governing employee of the applicant - a legal entity according to the form established by the normative legal act of the authorized body (necessarily , job specifications )
  • Copies of documents confirming the procedure and terms of purchase of shares (necessarily , job specifications )
  • Information on legal entities in which it is a major participant in the form stipulated by the normative legal act of the authorized body (necessarily , job specifications )
  • List of affiliated persons of the applicant (in case of absence of information in the website of the financial reporting depositary) (necessarily , job specifications )
  • Information and supporting documents about the persons (independently or together with other persons) who are owning directly or indirectly ten or more percent of shares (share in authorized capital) the legal entity and also having an opportunity to define decisions of this legal entity by the contract or otherwise to have control (necessarily , job specifications )
  • Application in arbitrary form, indicating the information provided for in paragraph 31 of the Regulation, in the form of an electronic document certified by electronic digital signature of the first head of the service recipient or the person acting (necessarily , job specifications )(Data form)
  • Annual financial statements for the last two completed financial years certified by the audit organization, as well as financial statements for the last completed quarter prior to submission of the relevant application. Annual financial statements are not submitted if the reports are posted on the depository 's website or if they can be obtained by an authorized authority through the e-government web portal (necessarily , job specifications )
  • Business - plan for the next five years, the requirements for which are established by the authorized body (optional , job specifications )
  • Copies of documents confirming the conditions and procedure for giving shares to the investment portfolio manager (optional , job specifications )


For individuals
  • List of legal entities in which it is a major participant and notarized copies of their constituent documents (necessarily , job specifications )
  • The recapitalization plan for each financial institution in cases of possible deterioration of the financial situation of the financial institution, which is made taking into account the obligations of the applicant in accordance with the recapitalization plan of financial organizations, a large participant, bank holding and/or insurance holding of which the applicant is and/or wishes to become (necessarily , job specifications )
  • Information on income and property, as well as information on existing debts under all obligations of the applicant according to the form established by the regulatory legal act of the authorized body (necessarily , job specifications )
  • Summary data on the applicant - a physical person, the governing employee of the applicant - a legal entity according to the form stipulated by the normative legal act of the authorized body (necessarily , job specifications )
  • Written confirmation of the relevant state body of the country of residence of the natural person - non-resident of the Republic of Kazakhstan that the acquisition of shares of the investment portfolio manager - resident of the Republic of Kazakhstan is permitted by the legislation of this country, or that such permission is not required (necessarily , job specifications )
  • Application in arbitrary form, indicating the information provided for in paragraph 31 of the Regulation, in the form of an electronic document certified by electronic digital signature of the first head of the service recipient or the person acting (necessarily , job specifications )(Data form)
  • Annual financial statements for the last two completed financial years certified by the audit organization, as well as financial statements for the last completed quarter prior to submission of the relevant application. Annual financial statements are not submitted if the reports are posted on the depository 's website or if they can be obtained by an authorized authority through the e-government web portal (necessarily , job specifications )
  • Copies of documents confirming the terms and conditions of purchase of shares, as well as sources and funds used for purchase of shares (necessarily , job specifications )
  • Information on the donor and sources of origin of property from the donor (optional , job specifications )
  • Business - plan for the next five years, the requirements for which are established by the authorized body (optional , job specifications )
  • Copies of documents confirming the conditions and procedure for giving shares to the investment portfolio manager (optional , job specifications )


Documents for downloading