The changes were introduced by Order No.143 of the Chair of the Agency of the Republic of Kazakhstan for Civil Service Affairs dated 10 August 2026, which entered into force on 13 August 2026. Certain provisions concerning the prevention and management of conflicts of interest will take effect on 1 January 2027.
The Model Regulation applies to anti-corruption compliance units, their heads and employees, as well as designated persons performing compliance functions. Such services are responsible for ensuring compliance by quasi-public sector entities and their employees with anti-corruption legislation.
The revised Regulation specifies the cases in which a compliance service must be established as a separate structural unit. In particular, such a unit is required within the National Welfare Fund, the Social Health Insurance Fund, the State Social Insurance Fund, the organization supporting the activities of the bodies and participants of the Astana International Financial Centre, national managing holdings, national holdings and national companies, as well as their subsidiaries, dependent entities and other affiliates with an average annual workforce of more than 100 employees. A separate service must also be established where a quasi-public sector entity was created by a decision of the Government or a central government authority, has subsidiaries, dependent or affiliated entities, branches or representative offices, or has an average annual workforce of more than 100 employees. In other cases, compliance functions may be assigned to a designated person.
Particular attention is given to ensuring the independence of compliance services. They may not be assigned functions related to procurement, finance, accounting, human resources and contract management, asset management, internal audit, security, or legal support for processes that are themselves subject to monitoring by the compliance service. The service must be accountable to the board of directors, supervisory board or another independent governing body of the organization.
Its functions include, among other things, coordinating internal corruption risk assessments, monitoring identified risks and measures taken to mitigate them, overseeing employees’ compliance with anti-corruption policies, providing training, conducting comprehensive due diligence on counterparties, and carrying out or participating in internal investigations into reports and complaints concerning corruption.
From 1 January 2027, the powers of compliance services in the area of conflicts of interest will be further specified. In particular, they will review written requests, notifications and other information concerning potential or actual conflicts of interest and issue conclusions as to whether such a conflict exists. Where a conflict is identified, the service will be required to propose measures to manage it and monitor their implementation.
From the same date, the list of restrictions and requirements subject to monitoring by compliance services will be expanded and clarified. It will cover requirements for the prevention and management of conflicts of interest, as well as prohibitions concerning certain categories of related persons working together, participation in decision-making where a personal interest exists, representing third parties in dealings with the relevant organization, and the use of advantages associated with a current or former position for personal benefit.
Recommendations and conclusions issued by a compliance service, including those concerning conflicts of interest, are subject to mandatory consideration by the head of the organization or the relevant structural units. They must inform the service of the measures taken or provide a reasoned explanation as to why its recommendations cannot be implemented.
The compliance service must submit a report on its activities at least once a year to the board of directors, supervisory board or another independent governing body, or, where no such body exists, to the head of the organization. It must also submit quarterly information on anti-corruption measures taken to the authority responsible for anti-corruption policy.
