To Regulations on Membership

Положение о членстве

Appendix 11

to Regulations on Membership

(This appendix was changed following a decision of the Exchange's Board of Directors of March 28, 2016).

QUESTIONNAIRE

for candidates for membership of Kazakhstan Stock Exchange JSC/
member of Kazakhstan Stock Exchange JSC –
legal entity registered in the Republic of Kazakhstan

*In this questionnaire the Exchange means Kazakhstan Stock Exchange JSC, and the Company means a candidate for membership of the Exchange or member of Exchange

Part 1. OVERVIEW OF THE COMPANY

1.Full name with indication of the legal form
In Kazakh and Russian – in accordance with the certificate or reference of government registration (re-registration) as a legal entity). In English – in accordance with the charter or other document specifying the spelling of the name in English
2.Shortened name
In Kazakh, Russian and English. In accordance with the charter or other document specifying the spelling of the shortened name
3.Details of government registration
Registration authority, date and place of registration, registration number
4.Details of the business identification number
Business identification number and date of its assignment
5.Details of the securities license*
Number of the license and date of issue. If brokerage and/or dealing activities on the securities market is performed based on a document other than a license from the National bank of Republic of Kazakhstan –details of that document.
* has not to be filled in by the Company that is a candidate for membership of the Exchange or a "currency market" member of the Exchange
6.Details of the banking license including foreign exchange transactions*
Number of the license and date of issue. If banking activities, including execution of foreign exchange transactions is performed based on a document other than a license from the National bank of Republic of Kazakhstan – details of that document.
* has not to be filled in by the Company that is a candidate for membership of the Exchange or a "stock market" member and/or "derivatives market" member of the Exchange
7.Legal address
Indicate the postal index. It must accord with the address given in the certificate or reference of government registration (re-registration) as a legal entity)
8.Actual address
Postal index, populated area, street/micro-district, building No., other data necessary for precise identification of the address
9.Office telephone numbers
Indicate the dialing code "+7(XXX)XXXXXXX" or "+7(XXXX)XXXXXX"
10.Office fax numbers
Indicate the dialing code "+7(XXX)XXXXXXX" or "+7(XXXX)XXXXXX"
11.E-mail
Unless the e-mail is case-sensitive, it must be written only with small letters
12.Website
13.Bank details
Bank identification code, SWIFTBIC, TELEX or other details necessary for precise identification of the bank account
14.Details of subsidiaries, affiliated public companies, branches, representative offices
Including details of shareholdings (total, outstanding shares). Names, legal addresses and actual addresses. With short description of activities.
15.Details of ratings from generally acknowledged rating agencies
16.Details of membership in associations (unions)
Including details of criteria of uniting in an association (union)
17.Short description of activities
Historical data and data on main lines of current activities. With short description of achievements and reputation, current business activities (including the market sector, available and prospective competitors), mid-term operating/development plans
18.Details of contact persons
Surnames, names, patronymics (if available), positions, office telephone numbers, fax numbers, mobile numbers, e-mails

Part 2. MEMBERS OF THE COMPANY'S EXECUTIVE BOARD

Item No. / Position. Details of appointment1 / Surname, name, patronymic
(if available) / Date of birth2. Citizenship
1.
2.
3.

1In format of type "decision of the Board of Directors (meeting minutes No. XXX of DD month YYYY year)".

2In format "DD month YYYY year".

Part 3. MEMBERS OF THE COMPANY'S MANAGEMENT BOARD

Item No. / Position. Details of appointment1 / Surname, name, patronymic
(if available) / Date of birth2. Citizenship
1.
2.
3.

1In format of type "decision of the general meeting of shareholders (meeting minutes No. XXX of DD month YYYY year)".

2In format "DD month YYYY year".

Part 4. MAJOR SHAREHOLDERS (PARTNERS) OF THE COMPANY

*In this questionnaire a major shareholder (partner) of the Company means a person that directly or indirectly, solely or jointly with other persons acting based on an agreement between them, holds shares (stakes in the share capital) of the Company in the number (volume) constituting 10 or more percent of the total number of outstanding shares (of the share capital) of the Company. In doing so, indirect holding of shares (stakes in the share capital) of the Company means the possibility to determine decisions of its shareholder (partner) through holding shares (stakes in the share capital) of some other legal entity.

Section 4.1. Physical persons

Item No. / Surname, name, patronymic
(if available). IIN1 / Date of birth2.
Citizenship / Residential address3 / Job location4.
Position / %5
1.
2.
3.

1Individual identification number (if available).

2In format "DD month YYYY year".

3Postal index, populated area, street / micro-district, building No., other data necessary for precise identification of the address.

4Name of the company – employer and its physical location. Main (contact) office telephone number of the company – employer.

5Portion (in percent) in the total number of outstanding shares (share capital) of the Company, constituted by shares (stakes in the share capital) held by the major shareholder (partner) of the Company directly or indirectly, solely or jointly with other persons acting based on an agreement between them.

Section 4.2. Legal persons

Item No. / Name1. BIN2 / Registration as a legal entity3 / Physical location4 / Main activities / %5
1.
2.
3.

1With reasonable use of abbreviations "JSC", "LLP" and the like.

2Business identification number (if available).

3Details of the government registration or equal registration as a legal entity:
registration authority, registration number, date and place of registration.

4Postal index, populated area, street / micro-district, building No., other data necessary for precise identification of the address.

[Chief executive officer][signature][Surname, initials]

[Stamp]

Date of completion