ARXO-2026-0071 · Reported

PRU (Investment Firms) 1.3(10) and 6.1(2): which Chapter 6 rules apply to Externally Regulated firms

Rule 1.3(10) says that "in Chapter 6, only Rule 6.6 applies" to Externally Regulated PRU Investment Firms. Rule 6.1(2) says "Other than Rules 6.5 and 6.6, this Chapter does not apply" to them, and Rule 6.5(2) contains a limitation written for them. Rule 6.5 carries the duty to notify a breach within one Business Day and the restriction on payments to Affiliates, so whether these firms are bound by it depends on which rule is read.

Proposed correction

Please align PRU INV 1.3(10) with 6.1(2) and 6.5(2) by addressing both Rules 6.5 and 6.6 expressly.

Jurisdiction: Kazakhstan — AIFC
Act: AIFC Prudential Rules for Investment Firms (PRU INV), V7
Place: PRU(INV) 1.3(10) / page 6
Record: Discrepancy
Class: Text of the act
Where it arose: The text of the act
Arxo's conclusion: Confirmed
Official text: Unchanged at last check
Last checked: 2026-10-23

Evidence

Contradiction within the text. Quotations are verbatim from the official material; translations are ours and marked.

and in Chapter 6, only Rule 6.6 applies to Externally Regulated PRU Investment Firms

Normative text · AIFC Prudential Rules for Investment Firms (PRU INV), V7 · PRU(INV) 1.3(10) / page 6 · retrieved 2026-10-23 · SHA-256 1d2d8c432b94071987e1f351c1dd44b443f39d75aa8fc552c31d1c7051812e89 · copy

Other than Rules 6.5 and 6.6, this Chapter does not apply to an Externally Regulated PRU Investment Firm.

Normative text · AIFC Prudential Rules for Investment Firms (PRU INV), V7 · PRU(INV) 6.1(2) / page 16 · retrieved 2026-10-23 · SHA-256 1d2d8c432b94071987e1f351c1dd44b443f39d75aa8fc552c31d1c7051812e89 · copy

In the case of an Externally Regulated PRU Investment Firm, the restriction in paragraph (1)(b) shall apply only to assets within the control of the AIFC Operation of the Externally Regulated PRU Investment Firm.

Normative text · AIFC Prudential Rules for Investment Firms (PRU INV), V7 · PRU(INV) 6.5(2) / page 17 · retrieved 2026-10-23 · SHA-256 1d2d8c432b94071987e1f351c1dd44b443f39d75aa8fc552c31d1c7051812e89 · copy

notify the AFSA in writing about the breach and the relevant circumstances immediately and not later than within 1 Business Day

Normative text · AIFC Prudential Rules for Investment Firms (PRU INV), V7 · PRU(INV) 6.5(1)(a) / page 16 · retrieved 2026-10-23 · SHA-256 1d2d8c432b94071987e1f351c1dd44b443f39d75aa8fc552c31d1c7051812e89 · copy

How to check it without Arxo's tools

Open AIFC Prudential Rules for Investment Firms (PRU INV), V7 and find PRU(INV) 1.3(10) / page 6; PRU(INV) 6.1(2) / page 16; PRU(INV) 6.5(2) / page 17; PRU(INV) 6.5(1)(a) / page 16. Compare the text with the quotation above. A copy is kept in this register: 1d2d8c432b940719-pru-v7.pdf (SHA-256 1d2d8c432b94071987e1f351c1dd44b443f39d75aa8fc552c31d1c7051812e89, copy of the official file).
The finding holds if the quoted passages read as shown and the comparison gives the result stated at the top of this page. If it does not, write to us with the record ID.

How this finding was made

AI agents read the official texts, turned the provisions concerned into executable rules and ran the comparison; they also drafted this record. A person at Arxo checked the finding and approved the report before it was sent (2026-10-27).

Responsible institutions

Astana Financial Services Authority (AFSA) — author of the AIFC Rules

Reported to

Date	Institution	Channel	Reference
2026-10-27	Astana Financial Services Authority (AFSA)	e-mail

Date

Institution

Channel

Reference

2026-10-27

Astana Financial Services Authority (AFSA)

e-mail

Responses

No response recorded.

History

2026-10-23Confirmed by Arxo
2026-10-27Entered in the register
2026-10-27Reported to Astana Financial Services Authority (AFSA) (e-mail)

Cite this record

Arxo Law, Arxo Findings Register, ARXO-2026-0071, https://arxo.io/findings/ARXO-2026-0071/ (status as of 2026-10-23). Data: ARXO-2026-0071.json.