№

Document Name

Format

1.   

Application to join the Business Rules of International Trading System Central Security Depository Ltd

A scanned copy of the signed application sent via EDMS, followed by the provision of the original application

2.   

Registered founding documents of the Applicant with current changes and supplements.

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided), or a copy certified by an authorised employee of the Company (if the original is available).

3.   

Document confirming state registration of the Applicant: extract from the trade register of the country of registration of the Applicant or other document confirming legal status of the Applicant in accordance with legislation of the country of their registration.

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original      is available).

4.   

Certificate of registration of the Applicant with a tax authority or other document issued by a tax authority in accordance with legislation of the country of registration of the Applicant.

Notarised copy or a copy certified by an authorised employee of the Company (if the original is available).

5.   

Document confirming the fact of election (appointment) of sole executive body of the Applicant.

Original or notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

6.   

Order on assumption of office by sole executive body of the Applicant with indication of the date of assumption of office.

Original or notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

7.   

ID document of the person assigned as sole executive body of the Applicant.

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

8.   

Employment agreement (contract) of sole executive body of the Applicant.

The said document is provided to the Company only if founding documents of the Applicant or the document on election (appointment) of sole executive body do not indicate the term, for which sole executive body is elected.

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

9.   

List of Authorized Signatories for ITS Central Securities Depository Ltd. in the form of ITS CSD (CSD-LAS)

A scanned copy of the signed form sent via EDMS, followed by the provision of the original

10.   

Power of Attorney to the

List of Authorized Signatories in the form of ITS CSD (CSD-PoA) confirming authorities of persons, regarding which the information is provided in sections Information on Representatives (individuals) and Information on Representatives (legal entities, unincorporated foreign structures) of the Applicant's Application and/or an Application of the client's representative being a legal entity/ Application of the client's representative being an individual is submitted, except for sole executive body of the Applicant.

A scanned copy of the signed form sent via EDMS, followed by the provision of the original or notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

ID documents of the individual indicated in clause 10 of this table.

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

12.   

Consent to the personal data processing to the individuals indicated in clause 7 and clause 10 of this table

Original

13.   

Documents of the managing organisation.

If authorities of the Applicant's sole executive body and signing powers are transferred to a managing organisation, documents confirming legal capacity of the said managing organisation are submitted to the Company, as indicated in clauses 1-8 of this table.

Original or notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

14.   

Ownership structure of the Applicant or extract(s) from the shareholder register of the Applicant and their shareholders (if necessary).

Ownership structure of the Applicant is disclosed up to individuals, who in the end directly or indirectly (through third persons) own (have majority share of over 25 per cent in the Applicant's capital) or may control actions of the Applicant.

Country of registration/ incorporation (citizenship) of foreign legal entities and individuals from the Ownership structure is indicated. 

Original

15.   

Local Regulator's licence and/or AIFC licence

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

16.   

AIFC document recognising the Local Regulator's licence

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

17.   

An administration or management agreement with an administrator or manager in respect of a Fund / an extract from the administration or management agreement with an administrator or manager in respect of a Fund

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

18.   

Information on business reputation of the Applicant 

Original or notarised copy.

19.   

Wolfsberg Questionnaire (filled in by Applicants who are credit institutions)

Original

20.   

AML & KYC Questionnaire

Original

21.   

Application (file) of the Client that is a legal entity

Original

22.   

Form of self-certification of a legal entity (for the purposes of FATCA and CRS) / form of self-certification of an individual (for the purposes of FATCA and CRS)

Original

23.   

Documents for the purposes of identification of the Beneficiaries and Intermediaries in Securities of Foreign Issuers (forms W-8BEN-E, W-8IMY, W-8EXP, W-8ECI) and corresponding withholding statement form (within the procedure and terms determined by the relevant norms of the Clearing Rules, provisions of the Regulations on Information Exchange and the QI/QDD Regulations of International Trading System Ltd or International Trading System Central Security Depository Ltd)

Original

24.   

Financial reports prepared in Russian or English in accordance with the requirements specified by International Financial Reporting Standards or other standards applicable in the jurisdiction of the Applicant/Member.

Copy certified by an authorised employee of the Applicant

25.   

Application(s) (withholding statement(s) for tax withholding at payment of Income

Original

№

Document Name

Format

1.          

Application to join the Business Rules of

International Trading System Central Security Depository Ltd

A scanned copy of the signed application sent via EDMS, followed by the provision of the original application

2.          

Registered founding documents of the Applicant with current changes and supplements.

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided), or a copy certified by an authorised employee of the Company (if the original is available).

3.          

Document confirming state registration of the Applicant: extract from the trade register of the country of registration of the Applicant or other document confirming legal status of the Applicant in accordance with legislation of the country of their registration.

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original      is available).

4.          

Certificate of registration of the Applicant with a tax authority or other document issued by a tax authority in accordance with legislation of the country of registration of the Applicant.

Notarised copy or a copy certified by an authorised employee of the Company (if the original is available).

5.          

Document confirming the fact of election (appointment) of sole executive body of the Applicant.

Original or notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

6.          

Order on assumption of office by sole executive body of the Applicant with indication of the date of assumption of office.

Original or notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

7.          

ID document of the person assigned as sole executive body of the Applicant.

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

8.          

Employment agreement (contract) of sole executive body of the Applicant.

The said document is provided to the Company only if founding documents of the Applicant or the document on election (appointment) of sole executive body do not indicate the term, for which sole executive body is elected.

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

9.          

List of Authorized Signatories for ITS Central Securities Depository Ltd. in the form of ITS CSD (CSD-LAS)

A scanned copy of the signed form sent via EDMS, followed by the provision of the original

Power of Attorney to the

List of Authorized Signatories in the form of ITS CSD (CSD-PoA) confirming authorities of persons, regarding which the information is provided in sections Information on Representatives (individuals) and Information on Representatives (legal entities, unincorporated foreign structures) of the Applicant's Application and/or an Application of the client's representative being a legal entity/ Application of the client's representative being an individual is submitted, except for sole executive body of the Applicant.

A scanned copy of the signed form sent via EDMS, followed by the provision of the original or notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

11.        

ID documents of the individuals indicated in clause 10 of this table.

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

12.        

Consent to the personal data processing to the individuals indicated in clause 7 and clause 10 of this table

Original

13.        

Documents of the managing organisation.

If authorities of the Applicant's sole executive body and signing powers are transferred to a managing organisation, documents confirming legal capacity of the said managing organisation are submitted to the Company, as indicated in clauses 1-8 of this table.

Original or notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

14.        

Ownership structure of the Applicant or extract(s) from the shareholder register of the Applicant and their shareholders (if necessary).

Ownership structure of the Applicant is disclosed up to individuals, who in the end directly or indirectly (through third persons) own (have majority share of over 25 per cent in the Applicant's capital) or may control actions of the Applicant.

Country of registration/ incorporation (citizenship) of foreign legal entities and individuals from the Ownership structure is indicated. 

Original

15.        

Local Regulator's licence and/or AIFC licence

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

16.        

AIFC document recognising the Local Regulator's licence

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

17.        

An administration or management agreement with an administrator or manager in respect of a Fund / an extract from the administration or management agreement with an administrator or manager in respect of a Fund

Notarised copy or a copy certified by an authorised employee of the Applicant (if the original document is provided to the Company), or a copy certified by an authorised employee of the Company (if the original is available).

18.        

Information on business reputation of the Applicant 

Original or notarised copy.

19.        

Wolfsberg Questionnaire (filled in by Applicants who are credit institutions)

Original

20.        

AML & KYC Questionnaire

Original

21.        

Confirmation of Beneficiary Ownership of Income (in the form approved by Annex 4 of the Membership Rules))

Original

22.        

Certificate of tax residency of the Applicant/Member for the year in which the corresponding agreement is concluded in the form approved in the jurisdiction of tax residency of the Applicant/Member, if applicable (if there is a valid double taxation treaty concluded by the country of tax residency of the Applicant/Member and the Republic of Kazakhstan)

The original is legalized in the manner prescribed by the legislation of the Republic of Kazakhstan (where applicable) and a notarized translation into Russian (where applicable) or a notarized copy of the original document. The signature and seal of a foreign notary must be legalized in the manner prescribed by the legislation of the Republic of Kazakhstan;

or electronic version

posted on: the Internet resource of the state body carrying out legalization;

or another government organization or public notary chamber that collects (stores) electronic apostilles of a foreign state;

or a paper copy of such a certificate posted on the Internet resource of the competent authority of a foreign state.

23.        

Application (file) of the Client that is a legal entity

Original

24.        

Form of self-certification of a legal entity (for the purposes of FATCA and CRS) / form of self-certification of an individual (for the purposes of FATCA and CRS)

Original

25.        

Documents for the purposes of identification of the Beneficiaries and Intermediaries in Securities of Foreign Issuers (forms W-8BEN-E, W-8IMY, W-8EXP, W-8ECI) and corresponding withholding statement form (within the procedure and terms determined by the relevant norms of the Clearing Rules, provisions of the Regulations on Information Exchange and the QI/QDD Regulations of International Trading System Ltd or International Trading System Central Security Depository Ltd)

Original

26.        

Financial reports prepared in Russian or English in accordance with the requirements specified by International Financial Reporting Standards or other standards applicable in the jurisdiction of the Applicant/Member.

Copy certified by an authorised employee of the Applicant

27.        

Application(s) (withholding statement(s) for tax withholding at payment of Income

Original