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№
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Name of the document
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Form and method of provision
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Form
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Method
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1.
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Application form for registration as a Member in the form specified in Annex 6 to Membership Rules
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the original
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as an Electronic Document signed with a Digital Signature via EDMS
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2.
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Application (File) of the Member-Legal Entity in the form specified in Annex 7 to Membership Rules
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the original
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as an Electronic Document signed with a Digital Signature via EDMS
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3.
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"Know your customer" Questionnaire in the form specified in Annex 8 to Membership Rules
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the original
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as an Electronic Document signed with a Digital Signature via EDMS
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4.
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Consent to the personal data processing in the form specified in Annex 9 to Membership Rules
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The original
A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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5.
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Trading service agreement and clearing service agreement in the form specified in Annex 10 and Annex 11 to Membership Rules
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The original
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as an Electronic Document signed with a Digital Signature via EDMS with the obligation to provide 2 original copies (signed and sealed (if applicable) within 30 days from the date of signing these agreements
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6.
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Confirmation of Beneficiary Ownership of Income (for tax non-residents of the Republic of Kazakhstan) in the form defined in Annex 12 to Membership Rules
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the original
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as an Electronic Document signed with a Digital Signature via EDMS
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7.
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Documents for identifying the Beneficiaries and Intermediaries in the securities of foreign issuers (in accordance with the procedure and timeframes determined by the relevant provisions of the Clearing Rules, the provisions of the Regulations on Information Exchange, and the QI/QDD Regulations) (Forms W-8BEN-E, W-8IMY, W-8EXP, W-8ECI)
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the original
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as an Electronic Document signed with a Digital Signature via EDMS
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8.
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Registered founding documents of the Applicant with current changes and supplements
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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9.
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Document confirming state registration of the Applicant: extract from the trade register of the country where the Applicant is registered, or other document confirming the legal status of the Applicant in accordance with legislation of the country of their registration
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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10.
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Certificate of registration of the Applicant with a tax authority, or other document issued by a tax authority in accordance with the legislation of the country of the Applicant’s registration
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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11.
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Document evidencing the election or appointment of the Applicant's sole executive body
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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12.
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Order on the assumption of office by the sole executive body of the Applicant, indicating the date of commencement of office
This document is required only if the document on line 11 does not specify the term of office (i.e., does not indicate the expiry date of the sole executive body 's authority)
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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13.
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ID document of the person appointed as the sole executive body of the Applicant
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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14.
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Power of attorney for the person who signed any of the documents provided or requested in the form specified in Annex 13 to Membership Rules
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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15.
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ID document of the individual indicated in line 14 of this table
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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16.
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The ownership structure of the Applicant, or extract(s) from the shareholder register of the Applicant and of its shareholders (if applicable).
The ownership structure of the Applicant shall be disclosed down to the individuals who ultimately, directly or indirectly (through third parties), hold an interest exceeding 25 per cent of the Applicant's capital or otherwise control the Applicant. The country of registration or incorporation (or citizenship, in the case of individuals) of foreign legal entities and individuals identified in the ownership structure shall be indicated.
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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17.
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License
(required only if the information on the issued license has not been published on the website of the official authority)
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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18.
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Details about the Applicant's financial status:
- financial statements shall be provided in accordance with the International Financial Reporting Standards (IFRS). In cases where the Applicant is unable to provide financial statements in compliance with IFRS, such statements shall be accepted in accordance with the national accounting standards of the jurisdiction where the Applicant is registered;
- information on compliance with mandatory financial requirements and other norms and limits set by the competent regulatory authority of the financial market and by the state bodies of the jurisdiction where the Applicant is registered (if applicable)
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A copy certified by (i) an Applicant’s sole executive body; or (ii) a person acting under a power of attorney duly issued by the Applicant.
This document may also be submitted as copy certified by an employee of the Company, provided that such copy is certified against production of the original document.
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as an Electronic Document signed with a Digital Signature via EDMS
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19.
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Wolfsberg Questionnaire (filled in by Applicants that are credit institutions)
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the original
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as an Electronic Document signed with a Digital Signature via EDMS
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20.
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Certificate of tax residency of the Applicant for the year in the trading service agreement and/or clearing service agreement is concluded, in the form approved in the Applicant's jurisdiction of tax residency (if applicable) and in accordance with the requirements of the Republic of Kazakhstan for such certificate, regardless of whether a double taxation treaty exists between the Applicant's country of tax residency and the Republic of Kazakhstan (required for tax non-residents of the Republic of Kazakhstan)
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Original certified by the competent authority of the non-resident's state of residence. The official's signature and seal must be legalised as per Kazakh law, or a legalising document posted on: (i) the legalisation authority's website; (ii) another state organisation's or notarial chamber's website that stores electronic apostilles.
Notarised copy of the original document meeting subclause 1) requirements. The foreign notary's signature and seal must be legalised as per Kazakh law, or a legalising document posted on the websites listed in subclause 1).
3) Paper copy of an electronic residence confirmation document posted on the foreign competent authority's website.
If an incomplete version of such document confirms non-resident's residence, it shall be recognised as a valid residence document for the relevant period.
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as an Electronic Document signed with a Digital Signature via EDMS
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