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News / Information for entities of financial market / Securities market

Securities market

Key issues:

1. Licensing
- Licensing procedure

2. Prudential normative requirements
- Clarifications

3. Reporting
- Reporting forms
Brokers/dealers
Registrars
Investment portfolio managers
Management of pension assets
Custodians


Enforcement measures and sanctions

Administrative infractions

 

 

 

 

General information:

 1.  Brokers and Dealers
2.  Brokers and Dealers of the RFCA
3.  Registrars
4.  Investment portfolio managers
5.  Custodian banks
6.  Transfer agents
7.  Pension assets management organizations
8.  The Stock Exchange of the RK
9.  Branches
10. License Register
The lists of professional securities market participants

Statistics::

1. Total reports
- Total balance sheet
- Total profit and loss account

2. Financial performance
- Investment structure of the interval and open-end investment funds’ assets
- Compliance report (compliance with prudential normative requirements)
- Information about assets, capital and liabilites of professional participants of securities market

3. Current status
 

The Agency's Quality Management System has been assessed by "Russian Register" Certification Association and found in conformity with the MS ISO 9001:2008 standard in respect of governmental regulation of the financial market and financial organizations, including development of legal acts.
IONET Certificate
Certificate of quality management system conformity №10.083.026 of 8th February, 2010
Address:
050000, Almaty,
67 Aiteke Bi str.
Tel: +7 727 2788 024
Fax: +7 727 2725 297
E-mail: afn@afn.kz

© Степанов А.В. АФН РК 2010г.

CN