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Regulatory Base
Notice: Regulatory documents of Kazakhstan Stock Exchange have been translated by the Exchange employees and are published for information purposes only. This section contains not all KASE regulatory documents, but only completely translated ones. For the time being the full version of the Exchange regulatory base is accessible only in Russian.
- Regulations on Membership are posted
- Specification of Automatic Repo Market is posted
- Rules on Repo Transactions are posted
- Methodology of Repo Transactions Market Indicators Calculation is posted
- Methodology of Foreign Currencies Market Indicators Calculation is posted
- Revised text of Regulations on Commercial Terms of Real-Time Market Data Dissemination are posted
- Revised text of Rules of Exchange Securities Trading
- Revised text of Rules on Clearing House Operation is posted
- Revised text of Methodology of Kazakhstan Stock Exchange Members Activity Indicators Calculation is posted
- Revised text of Methodology of Securities Valuation is posted
- Methodology of Securities Liquidity Indicators Defining is posted
- Listing Rules are posted
- Additions № 11 to Rules of Repo Transactions Execution, are effective from April 1, 2009
- Additions № 10 to Specification of Automatic Repo Market, are effective from April 1, 2009, except the norm on adding to the Specification of item 3-1, the effect of which applies to relations, originated before these amendments effect
- Changes and additions № 19 to Regulations of Trades and the Confirmation System Operation are effective from January 12, 2009
- Changes № 9 to Specification of Automatic Repo Market are effective from January 1, 2009
- Changes and addition № 4 to Rules of Foreign Currencies Exchange Trading are effective from December 29, 2008
- Additions and change № 8 to Specification of Automatic Repo Market are effective from December 25, 2008
- Additions № 9 to Instruction on Procedure of Coding of Members of Kazakhstan Stock Exchange, Financial Instruments and Securities Issuers are effective from December 29, 2008
- Addition № 18 to Regulations of Trades and the Confirmation System Operation is effective from December 29, 2008
- Introduced additions № 9 to Instruction on Procedure of Coding of Members of Kazakhstan Stock Exchange, Financial Instruments and Securities Issuers
- Introduced changes and additions № 6 to Methodology of Securities Valuation, effective from December 25, 2008
- Introduced addition № 18 to Regulations of Trades and the Confirmation System Operation
- Introduced changes and additions № 17 to Regulations of Trades and the Confirmation System Operation
- Introduced changes and additions № 6 to Methodology of Securities Valuation
- Introduced additions and changes № 9 to Rules on Repo Transactions Execution
- Introduced additions and change № 8 to the Instruction on Procedure of Coding of Members of Kazakhstan Stock Exchange, Financial Instruments and Securities Issuers
General Rules
- Strategy of Development of Kazakhstan Stock Exchange for 2007–2010
- Code of Kazakhstan Stock Exchange Corporate Management
- Regulations on Membership
- Appendix 1
- Appendix 2
- Appendix 3
- Resolution of the Board of Agency of the Republic of Kazakhstan on Regulation and Supervision of Financial Market and Financial Organizations "On Requirements to Foreign Legal Persons for Membership on Stock Exchange" of September 30, 2005 No. 360
- Rules of Kazakhstan Stock Exchange Trading Floor Functioning as the Special Trading Floor of the Regional Financial Center of Almaty
- Rules of Exchange Information Dissemination
- Regulations on Commercial Terms of Real-Time Market Data Dissemination
- Regulations on Arguments and Conflicts Resolution Procedures and the Exchange Arbitration Commission
- Regulations on Responsibility of Exchange for Orders Executed on behalf of Participants
- Code on Ethics of Kazakhstan Stock Exchange Members
- Regulations on Membership Fees and Exchange Dues
- Rules on Annual Rewards of the Most Distinguished Exchange Members
- Rules on Annual Rewarding of Listing Companies
- Rules of Annual Games Tournament Dedicated to "Birthday" of Kazakhstan Stock Exchange
- Rules on Maintenance of the Register of Affiliated Persons of Kazakhstan Stock Exchange
Financial Instruments
Securities
- Listing Rules
- Order of the Chairman of the Agency of the Republic of Kazakhstan on Regulation of Activities of the Regional Financial Center of Almaty "On Establishment of Requirements to Securities and Issuers of the Securities which are Proposed to be Listed or are Listed at the Special Trading Floor of the Regional Financial Center of Almaty" of May 8, 2008 No. 04.2-09/119 (the translation was kindly provided by the Agency of the Republic of Kazakhstan on Regulation of Activities of the Regional Financial Center of Almaty)
- Resolution of the Board of the Agency of the Republic of Kazakhstan on Regulation and Supervision of Financial Market and Financial Organizations "On Requirements to Issuers and Securities thereof, Admissible (Admitted) to Circulation on Stock Exchange, and to Individual Categories of Stock Exchange List" of May 26, 2008 No. 77
- Qualification Requirements for Auditing Organizations on Mandatory Audit Implementation
- Recommendations of the Exchange Council on Bonds Face Value, Intended for Inclusion to Kazakhstan Stock Exchange Official List
- Decision of the Exchange Council on Unit Investment Funds Shares Listing Fees
- Rules of Securities Admittance to Circulation in the Unlisted Securities Sector
- Rules of Government Securities Admittance to Circulation on the Exchange
- Rules of Admittance to Circulation of International Financial Organizations Securities
- Listing Requirements for Foreign Securities and Kazakhstan Depository Receipts
- Rules of Foreign Government Securities Admittance to Circulation
Trades
General Rules
- Regulations of Trades and the Confirmation System Operation
- Regulations on Trading Methods
- Rules of Market-Makers Activities
Trading System
- Rules on Certification of the Trading System Users
- Rules on the Trading System Operation in the Remote Access Mode
- Rules on Use of Programming-Cryptographic Information Security Devices at Operation of the Trading System in the Remote Access Mode
- Rules on Issue, Receipt and Use of Trading System Access Passwords and Personal Identification Numbers for Admission to Operation of Trading System
- Instruction on Procedure of Coding of Members of Kazakhstan Stock Exchange, Financial Instruments and Securities Issuers
- Decision of KASE Board "On Approval of Instruction on Procedure of Coding of Kazakhstan Stock Exchange Members, Financial Instruments and Securities Issuers"
- Decision of KASE Board on "Giving Effect to Items 2 and 4 of Article 2 of Instruction on Procedure of Coding of Kazakhstan Stock Exchange Members, Financial Instruments and Securities Issuers"
- Instruction on Coding Procedures of Kazakhstan Stock Exchange Member Accounts in Trading System
- Rules on Settlement of Issues at Malfunctions in the Trading System Operation
Securities
- Rules of Exchange Securities Trading
- Rules of Placement of Government Treasury Obligations of the Republic of Kazakhstan
- State Blocks of Shares. Order of Admittance to Sale on Trades and Settlements based on Trades Results
- Specification on Market Maker Status for Exchange Members of categories "Р" and "Н"
- Specification of Market Maker Status for Exchange Category "K" Members
- Application Form 1
- Application Form 2
- Application Form 3
- Rights and Responsibilities of Kazakhstan Stock Exchange Category "K" Members with Local Executive Bodies Bonds Market Maker Status
- Rights and Responsibilities of Kazakhstan Stock Exchange Members with International Financial Organizations Bonds Market Maker Status
- Regulations on Expert Committee of Exchange Council
Repo Transactions
Foreign Currencies
- Rules on Foreign Currency Exchange Trading
- Rules on Conclusion of Deals at Foreign Currency Trades (Dealer Code)
- Specification on US Dollar Market Maker Status
Futures Contracts
- Rules on Exchange Trading and Settlement on Fixed-Term Contracts
- Six-Month USD1000 Futures
- Six-Month EUR/USD Futures
- Specification of Affined Ingot Gold Futures
- Order of Paying Guarantee Fees and Initial Margin by Clearing Members
Deposit Certificates
Bills
Settlements
General Rules
- Rules on Clearing House Operation
- Regulations on Responsibility for Violation of Settlements Time Frames
- Order of Blocking Government Securities in Favor of the Exchange to Secure Obligations of Exchange Members
- Rules on Sale of Securities Blocked in Favor of the Exchange to Secure Obligations before the Exchange
- Agreement on Blocking of Securities
Securities
- Regulations of Settlements based on Securities Trading Results
- General Terms of Securities Trading Results Based Settlements
- Appendix 1
- Appendix 2
- Appendix 3
Foreign Currencies
- Rules on Execution of Settlements on Foreign Currency Trades Results
- Regulations on Responsibility for Violation of Settlements Terms on Results of Trades in Foreign Currency
Methodologies
- Methodology of Securities Valuation
- Methodology of Securities Liquidity Indicators Defining
- Regulations on Risk Committee
- Methodology of Kazakhstan Stock Exchange Members Activity Indicators Calculation
- Method of Calculation of Bond Yield and Bond Transaction Sum
- Methodology of Stock Market Indices Calculation
- Methodology of Repo Transactions Market Indicators Calculation
- Method on Building-up of Inter-bank Deposit Market Indicators
- Application form
- Memorandum on Building-up of Inter-bank Deposit Market Indicator
- Methodology of Foreign Currencies Market Indicators Calculation
© 1993–2010 Kazakhstan Stock Exchange Inc. All rights reserved. Information reproduction is prohibited unless Kazakhstan Stock Exchange Inc. written authorization.
Information – KASE, IRBIS agency. Development – eTrade.KZ
Information – KASE, IRBIS agency. Development – eTrade.KZ
