Almaty

+7 727 244 95 36

+7 727 2448 555

Contacts Bank branches

8 800 080 5099

(Toll free tel line for long-distance calls)

Astana+7 7172 21 35 04
Petropavlovsk+7 7152 46 14 82
Aktau+7 7292 43 61 61
Karaganda+7 7212 42 54 24
Atyrau+7 7122 32 13 99
Taraz+7 7262 57 90 10
Aktobe+7 7132 57 28 57
Uralsk+7 7112 51 19 48
Pavlodar+7 7182 32 97 77
Oskemen+7 7232 25 27 94
Zhanaozen+7 72934 33166

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JSC “DELTA BANK” questionnaire

Part 1. General information

Part 2. Structure, market position and other

18	Shareholders of the Bank (having shares of 5% and more)	As of 10.01.2012 the following shareholders own more than 5% of the Bank’s shares: Sarkulova Kulyash – 9.83% Alimkulov Aziz - 9.83% Saktaganova Galiya – 9.76% Tulebayeva Alma – 9.54% Dzholdybayeva Zhanar – 9.29% Tulepbekov Zhasulan – 9.10% Balmagambetova Almagul – 8.66% Kravchenko Aigul – 8.10% Samzayev Artykbai – 6.85% Akinzhanova Ainur – 6.12% Ahmetzhanova Gulimzhan – 6.12%
19	Board of Directors and Management Board	Board of Directors: 1) Shalgimbayeva Galina Chairperson 2) Dzhumagaziyev Erik Member 3) Sisengali Klara Member Independent Director 4) Beikutova Gulnur Member Independent Director 5) Samzayev Nurbol Member Chairperson of the Management Board *Management Board:* 1) Samzayev Nurbol Chairperson of the Board 2) Mamytaliyev Baglan Deputy Chairperson 3) Aitimov Akylbek Deputy Chairperson 4) Kainarbekova Galiya Deputy Chairperson Chief Accountant
20	Information on branches, subsidiaries, additional offices	Aktau Branch Address: 130000, Aktau, 23A, Aktobe Branch Address: 030000, Aktobe, 43A, Ibatova str. Almaty Branch Address: 050000, Almaty, 73 A Tole bi str. Astana Branch Address: 010000, Astana, 32, Abai Avenue Atyrau Branch Address: 060002, Atyrau, 1A, Tipographskaya str. Karaganda Branch Address: 100000, Karaganda, Kazibek bi region, 3, Bulvar Mira Pavlodar Branch Address: 140003, Pavlodar, 140, 1 Maiya str. Petropavlovsk Branch Address: 150008, Petropavlovsk, 53, K. Sutyusheva str. Taraz Branch Address: 080012, Taraz, 91A, Aitieva str. Uralsk Branch Address: 090000, Uralsk, 65, Samarskaya str. Zhanaozen Branch Address: 130200, Zhanaozen microregion “Shugyla” Representative office in Ust-Kamenogorsk Address: 070004, Ust-Kamenogorsk 95, Protozanov str. Additional offices: Address: 030012, Aktau, 37/7, 6 microregion Additional office Address: 030012, Aktobe, 46, Aliya Moldagulova avenue Additional office Address: 050062, Almaty, 30/34, 5 microregion Additional office Address: 060005, Atyrau 86/20 Azattyk avenue Additional office Address: 100019, Karaganda Kazybek bi region, 1/2, Progress str. Address: 100019, Karaganda Kazybek bi region, 3, Kommunalnaya Additional office Address: 090005, Uralsk, 2/5, Gagarin str.
21	Correspondent banks	- Sberbank, Moscow, Russia - Commerzbank AG, Frankfurt am Main, Germany - VTB Bank (Deutschland) AG, Frankfurt am Main, Germany
22	Name of auditors	KPMG
23	Ratings	Standard & Poor’s ratings : «B/B» long- and short-term counterparty credit ratings Outlook «Stable» «kzBB+» national scale rating
24	History, market share, competition, information on reorganization, changes in the activities, financial problems in the past, reputation in the local and international markets, market presence and etc.)	www.deltabank.kz
25	Information on the Bank available in the international directory «Bankers Almanac» (publishing house «Reed Business Information», UK) or information in the list (registry) of credit institutions, confirmed by relevant documents	www.bankersalmanac.com www.world-businessguide.com
26	Registered and paid-in capital	As of 01.02.2012 the paid-in capital was 15 462 mln KZT

Part 3. AML internal control

27	Does your financial institution have documents, regulating the procedures of internal control to counteract legalization (laundering) of illegal proceeds and terrorism financing, reporting on such transactions to the authorized body? If yes, what are these documents?	Yes No “Internal control rules on counteracting the legalization (laundering) of illegal proceeds and terrorism financing” approved by the Board of Directors of JSC "Delta Bank". “Policy on counteracting the legalization (laundering) of illegal proceeds and terrorism financing approved by the Board of Directors of JSC "Delta Bank".
28	Are “Know Your Customer” rules implemented in the Bank? If yes, how ?	Yes No When establishing business relationships with clients, due diligence procedures are taken place. These procedures include checking the client as to its possible involvement in terrorist activities and/ or financing of terrorism. The checking is done in accordance with the list of organizations and persons involved in terrorism and extremism financing. The list is provided by the Bank's authorized body.
29	Are your AML policies and practices applied to all branches and/or subsidiaries (if any) of the Bank?	Yes No
30	How is the training of Bank’s employees on AML issues conducted?	Seminars, training courses, distance training are conducted.
31	Does your Bank have an employee responsible for organizing AML activities ? If yes, please give his/her contact information (full name, position, telephone, fax, e-mail)	Yes No Full name: Grents Galina Position: Compliance-controller Tel: +7 727 244 85 41, ext. 1171 E-mail: grents.g@deltabank.kz
32	Does your Bank have «shell banks» as correspondents or counterparts ?	Yes No
33	Does your financial institution open anonymous accounts or numbered accounts ?	Yes No
34	Does your bank have correspondent relationships with banks residing in off-shore zones (off-shore zone meaning a country or a territory with preferential tax regime and/or legislation, which does not envisage disclosure of information on financial transactions) ? If yes, please name these correspondent banks:	Yes No
35	Does your bank have procedures to reasonably ensure that it only operates with correspondent banks that possess licenses to operate in their countries of incorporation ?	Yes No
36	Has your Bank been the subject of any investigation, indictment, conviction or civil enforcement action related to money laundering and terrorists financing in the past five years? If yes, please, provide more detailed information	Yes No
37	Do your Bank’s AML policies cover relationships with Politically Exposed Persons as your customers ?	Yes No
38	Are your AML/CTF policies and practices and their compliance audited by an internal audit structural unit ?	Yes No
39	Are your AML/CTF policies and practices and their compliance audited by an independent external audit?	Yes No
40	Date the questionnaire is filled:	02.03.2012

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1	Full legal name	Joint Stock Company «Delta Bank»
2	Short legal name	JSC «Delta Bank»
3	Full legal name in English (if any)	Joint Stock Company «Delta Bank»
4	Short legal name in English (if any)	JSC «Delta Bank»
5	Registration number	4270-1900-АО
6	Date of registration	29.08.2007
7	Place of registration	Astana, Republic of Kazakhstan
8	Type of banking license	License to conduct banking and other operations and activities in the securities market
9	Number and date of license	No 213 dd October 24, 2007
10	Body and place of license issue	Agency of the Republic of Kazakhstan on Regulation and Supervision of Financial Market and Financial Organizations Almaty, Republic of Kazakhstan
11	Business address (legal address)	050000, Almaty, Republic of Kazakhstan, Tole bi, str. 73A
12	Correspondence address	050000, Almaty, Republic of Kazakhstan, Tole bi, str. 73A
13	Telephone and fax numbers	Tel. + 7 727 244 85 41, 244 85 55, Fax. +7 727 244 85 57
14	E-mail	www.deltabank.kz
15	Banking identification code (BIC)	NFBAKZ23
16	Tax identification number	430600000759
17	Information on presence or absence of management body or other bodies at the place of Bank’s registration (Yes, for presence; No for absence)	Yes No

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JSC “DELTA BANK” questionnaire

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