Financial Law of Kazakhstan Yekaterina Kartseva School of

Financial Law of Kazakhstan Yekaterina Kartseva, School of Law

Home assignment 1. Civil Code, Chapter 3, articles 128 -1 – 139 -1. Statute “On Securities Market”. (Закон РК «О рынке ценных бумаг» ) p Please see these Statutes on the L -Drive, folder “Acts”

Plan I. II. IV. Circulation of securities Annulment of issue of shares Annulment of issue of bonds Payment of income on securities Payment agent

Terms & Translation a. b. c. d. e. f. g. h. i. j. k. l. Emissive securities – эмиссионные ценные бумаги Nominal securities - именные ценные бумаги Bearer securities – ценные бумаги на предъявителя Order securities – ордерные ценные бумаги Qualified investors – квалифицированные инвесторы Individual investors – индивидуальные инвесторы Institutional investors – институциональные инвесторы Professional activity on securities market – профессиональная деятельность на рынке ценных бумаг Asset management company – компания по управлению активами Broker dealer company – брокерско-дилерская компания State registration of issue of emissive securities – государственная регистрация выпуска эмиссионных ценных бумаг Issue prospectus – проспект выпуска ценных бумаг

Professional activity on securities market Nominal holding q Art. 1, p. 5), 65) q Art. 57, 58, 59 Broker & dealer q Art. 1, pp. 16), 26) q Art. 63, 64 Registrar q Art. 1, p. 18), 9) q Art. 64 -1, 65, 66 Asset management q Art. 1, pp. 34), 33) q Art. 69, 70 Custody q Art. 1, p. 46) q Art. 73, 74 Transfer-agent q Art. 1, p. 84) q Art. 76, 77,

Professional activity on securities market Clearing q Art. 1, p. 50) q Art. 77 -1, 77 -2 Depository q Art. 1, p. 22), 23), 24) q Art. 78 -80, 82 Organization of trade q Art. 1, pp. 53), 54), 55), 81), 14) q Art. 84, 86, 87, 88, 89, 90

Final Exam – 40% (100%) Date: June 28, 2014. Time: 8: 30 -10: 00 Hall: #113/New Bld. Reading materials: q Civil Code, Ch. 36, art. 715, 722, 727, 728. Ch. 38, Ch. 3, art. 128 -1 – 139 -1 q Banking Law Statute – articles 1 – 11 -2; 15 -18; 30 -40 q Securities Law – art. 1 -3, 4 -12, 15 -18, 18 -1, 18 -2, 18 -3, 18 -4, 21 -25, 28 -31, 45, 53, 56 -1, 57, 58, 59, 63, 64 -1, 65, 66, 69, 70, 73, 74, 76, 77 -1, 77 -2, 7880, 82, 84, 86, 87, 88, 89, 90 Structure of Exam: q Open book, Multiple choice, Based on cases What students are allowed to have on exam: q Printed statutes and Civil Code – preferred q Laptop or i. Pad (планшет). Minus 5% (out of 100%) or 2% (out of 40%) to the grade for this exam. NO INTERNET, if noticed, exam - not accepted. Important notice: q No presentations materials q No sharing of materials is allowed q No cell phones q Answers with wrong or without referencing of articles – 50% off the point