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Law of the Republic of Kazakstan on the registration of transactions
in securities, № 78-1 of 5 March, 1997
(As Amended by: The RK Law On Introduction of Amendments and Changes in
Certain Legislative Acts of the Republic of Kazakhstan Concerning Banking
Activities, dated July 11, 1997, № 154; the RK Law On Introduction of
Amendments and Changes in Certain Legislative Acts of the Republic of
Kazakhstan Concerning Joint Stock Companies, dated July 10, 1998, № 282)
The present Law regulates activities of securities market
professional participants performing registration of securities
transactions with the purpose of protection of ownership rights and
interests of securities owners.
CHAPTER 1. GENERAL CLAUSES
Article 1. Laws on Registration of Transactions in Securities
Legislation on registration of transactions in securities is based
on the RK Constitution, The RK Civil Code, and consists of this Law, other
legislative acts of the RK, normative acts of the RK President, Government and
the state body regulating securities issue and circulation (hereinafter
referred to as "authorized body")
Note: Amended by the RK Law № 282, dated July 10, 1998
Article 2. Principle of an exclusive place for registration of
securities transactions
1. Registration of securities transactions at a particular moment of
time shall be performed either by an issuer or by one of the following
securities market professional participants (SMPP) :a broker-dealer,
custodian, Central Depository or a registrar.
Securities transaction registration is fixation of the fact of
conclusion a transaction by a nominal holder or a registrar resulting in
transference of rights to securities from one person to another .
Securities transactions shall be subject to mandatory registration
in the procedure established by this Law and by the RK legislative acts.
2. Confirmation of the rights to securities shall be performed by a
body conducting registration of these securities transactions.
CHAPTER 2. NOMINAL HOLDING OF SECURITIES
Article 3. Nominal Holding of Securities
1. Transference of securities into nominal holding does not entail
transference of the ownership rights to securities to the nominal holder.
Nominally held securities and the securities of a nominal holder's
clients may not be exacted in favor of such a nominal holder's creditors.
2. In order to exercise the rights of an owner the nominal holder shall
register transactions with his securities.
3. Securities operations among the holders of one nominal holder are
not reflected by a registrar or the Central depository whose client such
a nominal holder is.
4. For the owners to be able to exercise the securities-manifest
rights, when demanded by the registrar, a nominal holder shall present a
list of registered holders of securities nominally held by him, of a
