A p p r o v e d
by the decision of the Board of Directors of Central Securities Depository JSC
(minutes # 8 dated August 27, 2010)
Effective
from October 01, 2010
O P E R A T I O N A L
S C H E D U L E
N O T I C E
English version of this Schedule has been translated by employees of the Central Securities Depository for information purposes only. In case of any discrepancies between two language versions hereof, the Russian version shall prevail.
Almaty 2010
L I S T O F A M E N D M E N T S
1. Additions # 1:
– approved by the decision of the Board of Directors of Central Securities Depository JSC (minutes # 4 dated June 10, 2011);
This Schedule defines operational day characteristics of Central Securities Depository JSC (hereinafter – the Central Securities Depository) during implementation of depository activities, certain types of banking operations, as well as actions on maintaining the unified system of personal accounts1.
1. The term "an operational day of the Central Securities Depository" used in given Schedule, means a time span as one business day2 during which the Central Securities Depository accepts documents from its customers and issues documents. (This paragraph was added by the decision of the Board of Directors of the Central Securities Depository of June 10, 2011).
Other terms used in this Schedule, are identical with those terms defined by the legislation of the Republic of Kazakhstan and the Code of Rules of the Central Securities Depository.
2. The operational day of the Central Securities Depository starts from 9:30 a.m., Almaty time, with the exception of the second indentation of this paragraph.
The Central Securities Depository shall accept instructions on registration of financial instruments transactions with deferred dates of registration (settlement) beginning from 11:00 a.m., Almaty time.
3. The operational day of the Central Securities Depository ends at the different time depending on documents’ types.
There is a deadline time for accepting the documents from clients in the Central Securities Depository which is indicated in Appendix 1 of this Schedule.
Moreover, there is a deadline time for issue of documents in the Central Securities Depository that is indicated in Appendix 2 of this Schedule.
4. The acceptance time of clients' documents can be prolonged, considering restrictions in the second indentation of this paragraph, in case of contingency by decision (including verbal decision) of any member of the Management Board or by client’s written application that is drawn up in free form (under the stipulation that such application is received by the Central Securities Depository until 5:30 p.m., Almaty time).
When mentioned in row 1.5 of Appendix 1 of this Schedule instructions' acceptance time is prolonged, the Central Securities Depository must stop accepting instructions not later than 30 minutes before operational day of money transfer interbank system operating by Republican State enterprise for economic activities "Kazakhstan Center for Interbank Settlements under the National Bank of the Republic of Kazakhstan" would be closed. 4-1. In case if the documents' acceptance time is prolonged the Central Securities Depository
shall send an electronic document on prolongation of the operational day to all its customers (This paragraph was included by the decision of the Board of Directors of the Central Securities Depository of June 10, 2011).
1
The unified system of personal accounts is a database compiled by the Central Securities Depository, which reflects totality of data contained in the securities holders register systems maintained by the registrars.
2
The business day of the Central Securities Depository is except Saturday, Sunday and official day offs and red-letter days of the Republic of Kazakhstan (This footnote was included by the decision of the Board of Directors of June 10, 2011).
5. The Central Securities Depository can prolong documents issue time by the decision (including verbal decision) of any member of the Management Board in case of contingency requiring such prolongation or proportional to the prolonged time for acceptance of documents in concordance with paragraph 4 of this Schedule.
Appendix 1
to the Operational Schedule
D E A D L I N E T I M E
for documents acceptance
# Types of documents
Almaty time, deadline time for documents
acceptance1
1. Depository activities
1.1.
Instruction on registration of transfer of financial instruments into the Central Securities Depository's nominal holding or withdrawal of financial instruments from the Central Securities Depository's nominal holding
5:00 p.m.
1.2. Registrar's or issuer's hard-copy request/instruction on issue
of reporting documents 5:00 p.m.
1.3. Registrar's or issuer's electronic request/instruction on issue
of reporting documents 6:00 p.m.
1.4. Hard-copy instruction on registration of financial
instruments transaction 5:00 p.m.
1.5. Electronic instruction on registration of financial instruments
transaction, that requires money transfer 5:30 p.m.
1.6. Electronic instruction on registration of financial instruments
transaction, that does not require money transfer 6:30 p.m. 1.7 Instruction on registration of financial instruments
transaction with deferred date of registration (settlement) 7:00 p.m. 1.8. Hard-copy instruction on issue of reporting documents 6:00 p.m. 1.9. Electronic instruction on issue of reporting documents 6:30 p.m.
1.10. Other documents 6:00 p.m.
2. Certain types of banking operations
2.1. Hard-copy instruction on money charge-off from client's
bank account 5:00 p.m.
2.2. Electronic instruction on money charge-off from client's
bank account 5:30 p.m.
2.3. Notification about expected funds receipt 5:30 p.m.
2.4. Other documents 6:00 p.m.
1
In case if other time is not fixed by the Code of Rules of the Central Securities Depository.
3. Activities on maintaining the unified system of personal accounts
3.1. Instruction of registered person 6:00 p.m.
3.2.
Registrar's electronic instruction on reflecting securities transaction and making changes into the unified system of personal accounts
6:30 p.m.
3.3. Registrar’s hard-copy instruction on issue of information
from the unified system of personal accounts 6:00 p.m.
3.4 Registrar’s electronic instruction on issue of information
from the unified system of personal accounts 6:30 p.m.
7
Appendix 2
to the Operational Schedule
D E A D L I N E T I M E
for documents issue
# Types of documents
Almaty time, deadline time for
documents issue 1. Depository activities
1.1. Issuing hard-copy documents 6:00 p.m.
1.2. Sending electronic documents to the registrars and issuers 6:00 p.m.
1.3. Sending electronic documents to clients 7:00 p.m.
2. Certain types of banking operations
2.1. Issuing hard-copy documents and sending electronic
documents 6:00 p.m.
3. Activities on maintaining the unified system of personal accounts
3.1. Issuing hard-copy documents 6:00 p.m.
