About
About
What we do
Our Jurisdiction
Management
International Cooperation
Our Mission
Our Structure
Risk Management Framework
Firms
Firms
Authorisation
Enforcement
Supervision
Consumers
Consumers
Complaints
Know your rights
Scams
Investment Guide
Fintech
FinTech
FinTech Lab
Fintech Hub
Global Financial Innovation Network (GFIN)
Registration
Registration
Consider before opening business
Post-registration
Types of participants
Legal Framework
Public Register
Notice Register
Main
>
Legal Framework
>
13.3. Dealing with the Regulator
Login
LEGAL ENTITIES LEGISLATION
FINANCIAL SERVICES LEGISLATION
REGULATIONS
RULES
GENERAL RULES
CONDUCT OF BUSINESS RULES
ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING AND SANCTIONS RULES
1. INTRODUCTION
2. APPLICATION
3. GUIDANCE ON KAZAKHSTAN CRIMINAL LAW
4. THE RISK BASED APPROACH
5. CUSTOMER RISK ASSESSMENT
6. CUSTOMER DUE DILIGENCE
7. ENHANCED DUE DILIGENCE
8. SIMPLIFIED DUE DILIGENCE
9. RELIANCE AND OUTSOURCING
10. CORRESPONDENT BANKING
11. WIRE TRANSFERS
11-1. TRANSFER OF DIGITIAL ASSETS
11-2. DIGITAL ASSET TRANSFER COUNTERPARTY DUE DILIGENCE AND ADDITIONAL MEASURES
12. SANCTIONS
13. MONEY LAUNDERING REPORTING OFFICER, THRESHOLD TRANSACTIONS, SUSPICIOUS TRANSACTIONS AND TIPPING OFF
13.1. Money Laundering Reporting Officer
13.2. [Intentionally omitted]
13.3. Dealing with the Regulator
13.3.1. Obligation of co-operation
13.4. Outsourcing the role of Money Laundering Reporting Officer
13.5. Qualities of Money Laundering Reporting Officer
13.6. Responsibilities of Money Laundering Reporting Officer
13.7. Reporting
13.8. Responsibilities of Money Laundering Reporting Officer on receipt of a Suspicious Transaction Report
14. GENERAL OBLIGATIONS
Figure 1 – The Risk Based Approach
Figure 2 – Customer Risk Assessment
COLLECTIVE INVESTMENT SCHEME RULES
AUTHORISED MARKET INSTITUTION RULES
MARKET RULES
RECOGNITION RULES
DEMATERIALISED INVESTMENT RULES
RULES FOR PRE-IPO LISTINGS
SOVEREIGN BONDS RULES
BANKING BUSINESS PRUDENTIAL RULES
PRUDENTIAL RULES FOR INVESTMENT FIRMS
PRUDENTIAL RULES FOR INSURANCE INTERMEDIARIES
INSURANCE AND REINSURANCE PRUDENTIAL RULES
ISLAMIC BANKING BUSINESS PRUDENTIAL RULES
ISLAMIC FINANCE RULES
TAKAFUL AND RETAKAFUL PRUDENTIAL RULES
REPRESENTATIVE OFFICE RULES
AIFC AUDITOR RULES
AIFC Financial Technology Rules
COOPERATION AND EXCHANGE OF INFORMATION RULES
TERMS AND PROCEDURE FOR CURRENCY TRANSACTIONS
FINANCIAL SERVICES EXEMPT FROM CORPORATE TAX
GLOSSARY
FEES RULES
RULES ON CURRENCY REGULATION AND PROVISION OF INFORMATION ON CURRENCY TRANSACTIONS IN THE AIFC
RULES ON THE SUBSTANTIAL PRESENCE OF THE AIFC PARTICIPANTS APPLYING TAX EXEMPTIONS FOR THE PAYMENT OF CIT, VAT
MULTILATERAL AND ORGANISED TRADING FACILITIES RULES
AIFC RECOVERY AND RESOLUTION RULES
AIFC RULES ON DIGITAL ASSET ACTIVITIES
RULES AND MECHANISMS OF COOPERATION OF UNBACKED DIGITAL ASSET EXCHANGES AND/OR CENTRE PARTICIPANTS AUTHORIZED TO CARRY OUT DIGITAL ASSETS-RELATED ACTIVITIES WITH SECOND-TIER BANK OF THE REPUBLIC OF KAZAKHSTAN
AIFC RULES ON PROVIDING MONEY SERVICES
POLICIES AND POLICY STATEMENTS
NOTICES
GUIDANCE
TEMPLATE
CONSULTATION PAPERS
ARCHIVE
Entire section
PDF
Print
Versions
13.2.1. [Intentionally omitted]
13.3.1. Obligation of co-operation
13.3.1. Obligation of co-operation