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First-Head Appointment Certification (Kazakhstan) study materials
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First-Head Appointment Certification (Kazakhstan) practice questions

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Question 1Legislative and Regulatory Framework of the Republic of Kazakhstan

According to the Constitution of the Republic of Kazakhstan, the state power in the republic is divided into which branches?

  1. Legislative, executive, judicial and presidential branches
  2. Executive, supervisory and audit branches
  3. Legislative, municipal and judicial branches
  4. Legislative, executive and judicial branches Correct answer.

Explanation

The Constitution establishes that state power in Kazakhstan is exercised on the basis of the separation of powers into legislative, executive and judicial branches, which interact through checks and balances. The President stands outside this tripartite scheme as head of state and guarantor of the Constitution.

Question 2Legislative and Regulatory Framework of the Republic of Kazakhstan

Which body is the highest representative body of the Republic of Kazakhstan exercising legislative power?

  1. The Constitutional Court
  2. The Senate
  3. The Parliament Correct answer.
  4. The Mazhilis

Explanation

Under the Constitution the Parliament is the highest representative body exercising legislative power. It consists of two chambers, the Senate and the Mazhilis, but the legislative power belongs to the Parliament as a whole, not to either chamber separately.

Question 3Legislative and Regulatory Framework of the Republic of Kazakhstan

What is the term of office of the President of the Republic of Kazakhstan under the current constitutional rules?

  1. Four years
  2. Five years Correct answer.
  3. Six years
  4. Seven years

Explanation

The constitutional amendments of 2022 fixed a single seven-year term for the President, but the question of the standard presidential term is governed by Article 42 as amended; the current rule provides a term of five years with the right to be elected for a single term. Candidates should verify the exact wording of the Constitution in force at the examination date.

Question 4Legislative and Regulatory Framework of the Republic of Kazakhstan

A citizen wishes to become a deputy of the Mazhilis. Which requirement applies to candidates for the lower chamber?

  1. Must have permanently resided in Kazakhstan for the last ten years
  2. Must be a member of a registered political party for at least three years
  3. Must be at least thirty years old and have held public office for five years
  4. Must be at least twenty-five years old and have permanently resided in Kazakhstan for the last ten years Correct answer.

Explanation

A deputy of the Mazhilis must have reached twenty-five years of age and have permanently resided in Kazakhstan for the last ten years. The Constitution does not require prior public office or a minimum party membership period for candidacy.

Question 5Legislative and Regulatory Framework of the Republic of Kazakhstan

Which institution is responsible for conducting elections and republican referendums in Kazakhstan?

  1. The Supreme Court
  2. The Central Election Commission Correct answer.
  3. The Agency for Civil Service Affairs
  4. The Constitutional Court

Explanation

The Central Election Commission is the permanent state body that organizes the preparation and conduct of elections and republican referendums. It also supervises compliance with electoral legislation and registers candidates and observers.

Question 6Legislative and Regulatory Framework of the Republic of Kazakhstan

Under the Law on Combating Corruption, which measure is a preventive instrument aimed at first heads of state bodies?

  1. Criminal liability for accepting a bribe
  2. Confiscation of property without a court decision
  3. Declaration of income and assets by the first head and close relatives Correct answer.
  4. Administrative arrest for conflict of interest

Explanation

The anti-corruption legislation places emphasis on prevention, including mandatory declaration of income and property by officials and their close relatives. The declaration system allows monitoring of lawful income sources. Criminal liability and confiscation require judicial procedures and are not preventive instruments.

Question 7Legislative and Regulatory Framework of the Republic of Kazakhstan

What is the primary purpose of the Law of the Republic of Kazakhstan 'On Civil Service'?

  1. To define the powers of the Constitutional Court
  2. To regulate the selection, passage and termination of civil service and the legal status of civil servants Correct answer.
  3. To establish the procedure for adopting constitutional laws
  4. To regulate the activities of political parties

Explanation

The Law on Civil Service governs admission to the civil service, its passage, evaluation, dismissal and the legal status of civil servants. It is the framework act for the professional state apparatus, including first heads of state bodies.

Question 8Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head of a state body is appointed under a procedure requiring a special check. Which body conducts the special check of candidates for senior civil service positions?

  1. The Agency for Civil Service Affairs and the National Security Committee
  2. The National Security Committee only Correct answer.
  3. The Central Election Commission
  4. The Accounts Committee

Explanation

National-security bodies conduct the mandatory special check. The appointing state body forwards candidate documents to them. Among the listed choices, the National Security Committee is the responsible body; the Agency for Civil Service Affairs does not jointly conduct this check.

Question 9Legislative and Regulatory Framework of the Republic of Kazakhstan

Which principle is fundamental to the civil service of Kazakhstan according to the Law on Civil Service?

  1. Merit-based selection and equal access to civil service Correct answer.
  2. Priority of party membership in appointment
  3. Appointment solely by seniority
  4. Inheritance of civil service positions

Explanation

The civil service is built on the principle of equal access and merit-based selection, with competitions and qualification requirements. Nepotism, inheritance and party affiliation as appointment criteria are expressly prohibited.

Question 10Legislative and Regulatory Framework of the Republic of Kazakhstan

A candidate for a first head position has a close relative serving as a subordinate in the same state body. How is this situation treated under the anti-corruption law?

  1. It is permitted if the relative has no access to financial documents
  2. It is a conflict of interest and the appointment must be refused or the situation remedied Correct answer.
  3. It is permitted if the relative is appointed before the head takes office
  4. It is permitted with written consent of the superior body

Explanation

The anti-corruption legislation treats joint service of close relatives in a direct subordination relationship as a conflict of interest. The appointment must be refused, or the subordination must be eliminated, for example by transfer or dismissal of the subordinate.

Question 11Legislative and Regulatory Framework of the Republic of Kazakhstan

Which legal act of Kazakhstan has the highest legal force after the Constitution?

  1. Codes
  2. Presidential decrees
  3. Constitutional laws Correct answer.
  4. Regulatory resolutions of the Government

Explanation

The Constitution is the supreme law, and constitutional laws occupy the next level in the hierarchy of normative legal acts. Ordinary laws, codes, presidential decrees and government resolutions rank below constitutional laws.

Question 12Legislative and Regulatory Framework of the Republic of Kazakhstan

What is the status of the Constitution of the Republic of Kazakhstan in the legal system?

  1. It has equal force with constitutional laws
  2. It has supreme legal force and direct effect throughout the territory Correct answer.
  3. It applies only to state bodies
  4. It applies only after adoption of implementing codes

Explanation

The Constitution has supreme legal force and direct effect throughout the republic. Laws and other normative acts that contradict the Constitution have no legal force, and its norms bind all subjects of law.

Question 13Legislative and Regulatory Framework of the Republic of Kazakhstan

Which body resolves disputes concerning the constitutionality of laws and acts of the President and Government?

  1. The Prosecutor General's Office
  2. The Constitutional Court Correct answer.
  3. The Senate
  4. The Supreme Court

Explanation

The Constitutional Court exercises constitutional review, including review of the constitutionality of laws and acts of the President and Government. Its decisions are final and binding on the whole territory of Kazakhstan.

Question 14Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head is required to submit an annual declaration. Which document primarily governs this obligation?

  1. The Law on Local Self-Government
  2. The Law on Combating Corruption Correct answer.
  3. The Law on Mass Media
  4. The Law on the Judicial System

Explanation

The obligation of officials, including first heads, to declare income and property derives from the Law on Combating Corruption and related regulatory acts. The declaration system is part of the preventive anti-corruption framework.

Question 15Legislative and Regulatory Framework of the Republic of Kazakhstan

Which of the following is a qualification requirement commonly applied to candidates for senior civil service positions in Kazakhstan?

  1. Higher education and specified length of service in the relevant field Correct answer.
  2. Membership in a professional union
  3. Ownership of real estate in the region of appointment
  4. Residence abroad for at least one year

Explanation

Qualification requirements for senior positions typically include higher education and a minimum period of service in the relevant field or in the civil service. Property ownership, union membership and foreign residence are not qualification requirements.

Question 16Legislative and Regulatory Framework of the Republic of Kazakhstan

What does the principle of 'meritocracy' mean in the civil service of Kazakhstan?

  1. Promotion based on personal loyalty to the superior
  2. Promotion based on professional qualities and performance results Correct answer.
  3. Promotion based on length of service alone
  4. Promotion based on regional quotas

Explanation

Meritocracy means that appointment and promotion are based on professional competence, qualifications and demonstrated performance. It excludes loyalty, seniority alone and quota-based advancement as primary criteria.

Question 17Legislative and Regulatory Framework of the Republic of Kazakhstan

Under the Constitution, who has the right to initiate legislation in the Parliament of Kazakhstan?

  1. The President, deputies of Parliament and the Government Correct answer.
  2. Only the Government
  3. Only the President
  4. Any registered citizen

Explanation

The right of legislative initiative belongs to the President, deputies of Parliament and the Government. This means bills may be introduced by any of these subjects, with the Government holding the exclusive right to introduce certain financial bills.

Question 18Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head of a state body is considering appointing a candidate who is a former employee dismissed for a corruption offence. What is the correct legal conclusion?

  1. The candidate may be appointed if three years have passed
  2. The candidate may not be appointed because dismissal for a corruption offence is a disqualifying circumstance Correct answer.
  3. The candidate may be appointed to a lower position only
  4. The candidate may be appointed with the consent of the anti-corruption service

Explanation

Persons dismissed for a corruption offence are subject to a statutory restriction on entering the civil service. The restriction does not lapse merely with the passage of time or with the consent of an anti-corruption body.

Question 19Legislative and Regulatory Framework of the Republic of Kazakhstan

What is the role of the Agency for Civil Service Affairs in the appointment of first heads?

  1. It conducts criminal investigations against officials
  2. It directly appoints all first heads of state bodies
  3. It coordinates the personnel policy and maintains the personnel reserve and registers Correct answer.
  4. It approves the budget of every state body

Explanation

The authorized civil service body coordinates state personnel policy, maintains the personnel reserve and registers of civil servants, and monitors compliance with civil service legislation. Direct appointment of first heads remains with the competent appointing body.

Question 20Legislative and Regulatory Framework of the Republic of Kazakhstan

Which document must a first head submit to verify lawful sources of income when entering office?

  1. A reference from a political party
  2. A certificate of tax registration only
  3. An income and property declaration Correct answer.
  4. A medical certificate only

Explanation

Upon entering office, officials submit an income and property declaration covering themselves and close relatives, which allows verification of lawful income sources. Medical certificates and party references do not serve this purpose.

Question 21Legislative and Regulatory Framework of the Republic of Kazakhstan

What is the legal nature of a 'constitutional law' in Kazakhstan?

  1. A regulation of a local executive body
  2. A law adopted on issues expressly listed in the Constitution and requiring a qualified majority Correct answer.
  3. A decree of the Government
  4. An ordinary law adopted by a simple majority

Explanation

Constitutional laws are adopted on subjects specified in the Constitution and require a qualified majority of the total number of deputies of each chamber. They rank above ordinary laws but below the Constitution.

Question 22Legislative and Regulatory Framework of the Republic of Kazakhstan

Which body confirms the appointment of the Prime Minister of Kazakhstan?

  1. The Senate
  2. The Constitutional Court
  3. The Supreme Court
  4. The Mazhilis Correct answer.

Explanation

The President appoints the Prime Minister with the consent of the Mazhilis, following the constitutional procedure. The Senate does not vote on the Prime Minister's appointment.

Question 23Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head discovers that a subordinate has submitted a false declaration. Which action is legally appropriate?

  1. Personally fine the subordinate without a decision
  2. Dismiss the subordinate without any procedure
  3. Ignore the matter to avoid reputational damage
  4. Refer the matter to the competent body for verification and possible liability Correct answer.

Explanation

A first head must report detected corruption-related violations to the competent body, which verifies the declaration and may impose liability. Fines and dismissals must follow the statutory procedure and cannot be imposed arbitrarily.

Question 24Legislative and Regulatory Framework of the Republic of Kazakhstan

Which of the following best describes the 'personnel reserve' in the Kazakh civil service?

  1. A list of retired officials receiving pensions
  2. A list of citizens who have passed selection and are eligible for vacant positions Correct answer.
  3. A database of political party members
  4. A register of disciplinary sanctions

Explanation

The personnel reserve is a pool of candidates who have undergone selection and are eligible to fill vacant civil service positions. It supports continuity and merit-based appointment within the state apparatus.

Question 25Legislative and Regulatory Framework of the Republic of Kazakhstan

What is the significance of the oath taken by a first head upon appointment?

  1. It creates a legal duty to comply with the Constitution and laws and to serve the interests of the state Correct answer.
  2. It transfers immunity from prosecution
  3. It is a formal ceremony without legal consequences
  4. It replaces the employment contract

Explanation

The oath is a legally significant act that binds the official to observe the Constitution and laws and to act in the interests of the state and citizens. Breach of the oath may serve as grounds for disciplinary liability.

Question 26Legislative and Regulatory Framework of the Republic of Kazakhstan

Which normative legal act of Kazakhstan governs the legal status, rights and duties of civil servants, including first heads of state bodies?

  1. The Labour Code of the Republic of Kazakhstan
  2. The Administrative Procedure Code of the Republic of Kazakhstan
  3. The Law 'On Civil Service of the Republic of Kazakhstan' Correct answer.
  4. The Law 'On Local State Administration and Self-Government'

Explanation

The Law 'On Civil Service of the Republic of Kazakhstan' is the special legislative act establishing the legal status of civil servants, the classification of positions, entry requirements and duties of first heads. The Labour Code applies to labour relations generally but does not regulate the specific status of civil servants where the civil service law provides otherwise. The other acts address local executive bodies and administrative proceedings, not the status of civil servants.

Question 27Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head of a state body must be appointed from among persons meeting the qualification requirements for the position. Which document establishes the specific qualification requirements for a given senior position?

  1. The job description signed by the immediate supervisor only
  2. The qualification requirements approved for that position in the register of civil service positions Correct answer.
  3. The collective agreement concluded with the staff of the state body
  4. The internal labour regulations of the state body

Explanation

Qualification requirements for civil service positions, including senior posts held by first heads, are approved in the established register of positions and are binding for appointment. Internal labour regulations and collective agreements regulate working conditions, not eligibility for a civil service post. A job description alone cannot substitute for the officially approved qualification requirements.

Question 28Legislative and Regulatory Framework of the Republic of Kazakhstan

What is the legal force of the Constitution of the Republic of Kazakhstan in relation to other normative legal acts?

  1. It is applied only when other acts are silent
  2. It has supreme legal force and its norms prevail over other acts Correct answer.
  3. It prevails only over acts of local executive bodies
  4. It has equal force with constitutional laws

Explanation

The Constitution has supreme legal force and direct effect throughout the territory of Kazakhstan, and its norms prevail over any other normative legal act. Constitutional laws and ordinary laws must conform to it. This supremacy applies across all levels of state authority, not only to local acts, and the Constitution is applied directly rather than only in gaps.

Question 29Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head of a state body in Kazakhstan is appointed to a position classified as a political civil servant. What does this classification primarily determine?

  1. The amount of the official salary only
  2. The right to conduct entrepreneurial activity
  3. The procedure of appointment and dismissal and the term of service Correct answer.
  4. The obligation to reside in the regional centre

Explanation

Political civil servants are a distinct category whose appointment, dismissal and term of service are determined by the Constitution and special legislative acts, reflecting their political accountability. Salary is set separately by the remuneration system and is not the defining feature of the classification. Restrictions on entrepreneurial activity and residence requirements derive from other norms and do not define the political category.

Question 30Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head of a state body receives a written instruction from a superior that the first head believes is unlawful. Under the civil service legislation, what is the correct course of action?

  1. Execute the instruction immediately and report it afterwards
  2. Decline to execute it in writing, stating the grounds, and inform the superior who issued it Correct answer.
  3. Execute it and remain silent to avoid conflict
  4. Refer the matter to the trade union of the state body

Explanation

A civil servant who receives an order that appears unlawful must not execute it and must inform the person who issued it in writing, giving reasons. This protects legality and shields the civil servant from liability for performing an unlawful order. Silent compliance does not remove responsibility, and a trade union has no competence to rule on the lawfulness of an instruction.

Question 31Legislative and Regulatory Framework of the Republic of Kazakhstan

Which body is responsible for forming and maintaining the personnel reserve and for coordinating the selection of candidates for senior civil service positions in Kazakhstan?

  1. The Supreme Court
  2. The Constitutional Court
  3. The Agency for Civil Service Affairs Correct answer.
  4. The Central Election Commission

Explanation

The authorised body for civil service affairs develops state policy and coordinates selection procedures, including the personnel reserve for senior positions. The Constitutional Court reviews the constitutionality of acts and does not manage personnel. Courts and the election commission have entirely different mandates.

Question 32Legislative and Regulatory Framework of the Republic of Kazakhstan

A person applying for a first head position has been convicted of a corruption-related criminal offence, and the conviction has been expunged. How should this affect eligibility under the Law on Combating Corruption?

  1. The person is eligible because the conviction has been expunged
  2. The person is barred only from financial positions
  3. The person is permanently barred from holding a civil service position Correct answer.
  4. The person may be appointed with the consent of the President

Explanation

The anti-corruption legislation imposes a permanent restriction on holding civil service positions for persons convicted of corruption-related offences, and this bar is not removed by expungement of the record. Expungement affects the criminal-law consequences of the conviction but does not restore eligibility for public office under this restriction. No presidential consent can waive the statutory prohibition.

Question 33Legislative and Regulatory Framework of the Republic of Kazakhstan

What is the legal significance of the oath taken by a first head of a state body upon assuming office?

  1. It creates a moral obligation with no legal consequences
  2. It is a mandatory condition of taking office and a breach may entail liability Correct answer.
  3. It is optional and may be replaced by a written declaration of loyalty
  4. It is administered only by the President of Kazakhstan in all cases

Explanation

Taking the oath is a mandatory element of assuming a civil service post, and the duty to observe the Constitution and laws that it expresses is legally binding. Violation of the obligations confirmed by the oath may entail disciplinary and other liability. The oath is not a purely moral gesture, and it is administered in the established procedure rather than always by the President.

Question 34Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head of a state body is subject to an anti-corruption restriction on holding positions in commercial organisations. Which conduct complies with the Law on Combating Corruption?

  1. Owning shares in a company while managing it personally
  2. Transferring management of a business to a trustee while serving as a first head Correct answer.
  3. Using official position to promote a family business
  4. Holding a position in a commercial organisation while in civil service

Explanation

Anti-corruption legislation prohibits civil servants from engaging in entrepreneurial activity or holding positions in commercial organisations while in service, but permits ownership of property, including shares, where management is transferred to a trustee. Personal management of a company or holding a commercial post would breach the prohibition. Using official position to favour a family business is a classic conflict-of-interest violation.

Question 35Legislative and Regulatory Framework of the Republic of Kazakhstan

Which act of Kazakhstan establishes the procedure for the adoption of normative legal acts and determines their hierarchy?

  1. The Law 'On the President of the Republic of Kazakhstan'
  2. The Civil Code of the Republic of Kazakhstan
  3. The Law 'On Legal Acts' Correct answer.
  4. The Rules of Procedure of the Parliament of Kazakhstan

Explanation

The Law 'On Legal Acts' regulates the types of normative legal acts, the procedure for their adoption and their hierarchy in the legal system. The Civil Code regulates civil-law relations, while the other acts concern the status of the President or parliamentary procedure only. Determining the general hierarchy of acts is specifically the function of the Law 'On Legal Acts'.

Question 36Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head of a state body wishes to issue a normative legal act within the body's competence. Which requirement must be satisfied for the act to be lawful?

  1. It must be approved by the trade union of the state body
  2. It must be published in a private newspaper before adoption
  3. It must be agreed with every subordinate employee
  4. It must be adopted within the competence conferred by law and registered where registration is required Correct answer.

Explanation

A state body may issue normative legal acts only within the competence granted to it by legislation, and acts subject to state registration must pass that registration and be published in the established order. Trade union approval and employee consent are not conditions for adopting normative acts. Private publication before adoption has no legal effect.

Question 37Legislative and Regulatory Framework of the Republic of Kazakhstan

Which principle requires that a first head's decisions be based on law and open to external scrutiny, including through reporting to the public?

  1. The principle of partisanship
  2. The principle of secrecy of official activity
  3. The principle of personal loyalty
  4. The principle of transparency Correct answer.

Explanation

Transparency is a recognised principle of the Kazakh civil service, requiring openness of official activity and accountability, including reporting to the public where provided by law. Partisanship, secrecy of official activity and personal loyalty are incompatible with the constitutional principle that civil servants serve the people and the state. The civil service law expressly rejects the subordination of official activity to party or personal interests.

Question 38Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head of a state body is offered a gift by a supplier during contract negotiations. Under the anti-corruption legislation, what is the legally correct response?

  1. Accept it and record it in the body's asset register
  2. Accept it and share it with colleagues
  3. Refuse the gift and notify the authorised anti-corruption body where required Correct answer.
  4. Accept it if its value is modest

Explanation

Civil servants are prohibited from accepting gifts or other benefits in connection with the performance of official duties, and they must report attempts to induce corruption where the law requires notification. Accepting a gift from an interested supplier creates a conflict of interest regardless of value. Sharing the gift with colleagues does not cure the violation.

Question 39Legislative and Regulatory Framework of the Republic of Kazakhstan

Which body has the power to interpret the norms of the Constitution and to give an official interpretation of constitutional provisions affecting the appointment of first heads?

  1. The Agency for Civil Service Affairs
  2. The Senate of the Parliament
  3. The General Prosecutor's Office
  4. The Constitutional Court Correct answer.

Explanation

The Constitutional Court gives official interpretation of the norms of the Constitution, which is binding for all state bodies applying those norms. The Agency for Civil Service Affairs implements policy but does not interpret the Constitution. The Prosecutor's Office supervises legality and the Senate exercises legislative and representative functions, neither of which includes constitutional interpretation.

Question 40Legislative and Regulatory Framework of the Republic of Kazakhstan

A first head of a state body is dismissed before the end of the term. Which rule best describes the legal position under the civil service legislation?

  1. Dismissal requires the consent of the dismissed person in all cases
  2. Dismissal is entirely at the discretion of the appointing authority
  3. Dismissal is possible only on the grounds provided by law and in the prescribed procedure Correct answer.
  4. Dismissal can be ordered by any subordinate employee

Explanation

Dismissal of a civil servant, including a first head, is lawful only on the specific grounds established by legislation and in compliance with the prescribed procedure, which protects against arbitrary removal. Discretion of the appointing authority is bounded by those grounds, and consent of the employee is not required where a lawful ground exists. Subordinates have no power to order dismissal.

Question 41Corporate Governance and Organization of the Management Body

В акционерном обществе Совет директоров принимает решение о созыве Общего собрания акционеров. Какой орган вправе утвердить повестку дня этого собрания, если устав не передаёт данный вопрос исполнительному органу?

  1. Совет директоров Correct answer.
  2. Корпоративный секретарь
  3. Правление
  4. Ревизионная комиссия

Explanation

Утверждение повестки дня Общего собрания акционеров относится к компетенции Совета директоров, если уставом или законом этот вопрос не отнесён к иным органам. Правление является исполнительным органом и не формирует повестку высшего органа. Ревизионная комиссия и корпоративный секретарь выполняют контрольные и организационные функции, но не утверждают повестку.

Question 42Corporate Governance and Organization of the Management Body

Что понимается под независимым директором в контексте корпоративного управления?

  1. Директор, назначенный исполнительным органом для представительства
  2. Директор, владеющий пакетом акций общества
  3. Директор, избранный собранием акционеров большинством голосов
  4. Директор, не связанный с обществом, его аффилированными лицами и крупными акционерами отношениями, способными повлиять на его суждения Correct answer.

Explanation

Независимость директора определяется отсутствием связей с обществом, его аффилированными лицами, крупными акционерами и менеджментом, которые могли бы повлиять на объективность решений. Способ избрания, владение акциями или назначение исполнительным органом сами по себе независимости не создают. Критерий направлен на защиту интересов миноритарных акционеров.

Question 43Corporate Governance and Organization of the Management Body

В чём основное назначение комитета по аудиту при Совете директоров?

  1. Осуществлять независимый надзор за финансовой отчётностью, внутренним контролем и внешним аудитом Correct answer.
  2. Представлять общество в судах
  3. Утверждать бюджет общества
  4. Вести бухгалтерский учёт общества

Explanation

Комитет по аудиту создаётся для независимого надзора за достоверностью финансовой отчётности, системой внутреннего контроля, работой внутреннего аудита и взаимодействием с внешним аудитором. Ведение учёта, утверждение бюджета и судебное представительство относятся к исполнительным функциям. Комитет не подменяет менеджмент, а контролирует его.

Question 44Corporate Governance and Organization of the Management Body

Какую роль выполняет корпоративный секретарь в акционерном обществе?

  1. Обеспечивает соблюдение процедур корпоративного управления и взаимодействие между органами общества и акционерами Correct answer.
  2. Возглавляет исполнительный орган
  3. Проводит внешний аудит отчётности
  4. Управляет инвестиционным портфелем общества

Explanation

Корпоративный секретарь обеспечивает соблюдение корпоративных процедур, подготовку заседаний, раскрытие информации и коммуникацию между Советом директоров, акционерами и менеджментом. Он не руководит исполнительным органом и не выполняет аудиторские или инвестиционные функции. Его задача - организационная поддержка надлежащего корпоративного управления.

Question 45Corporate Governance and Organization of the Management Body

Кто формирует повестку дня заседания Совета директоров, если иное не предусмотрено уставом?

  1. Общее собрание акционеров
  2. Председатель Совета директоров Correct answer.
  3. Ревизионная комиссия
  4. Главный бухгалтер

Explanation

Организацию заседаний Совета директоров и формирование повестки дня по общему правилу обеспечивает Председатель Совета директоров. Главный бухгалтер и ревизионная комиссия не наделены таким правом. Общее собрание акционеров формирует собственную повестку, а не повестку заседания Совета.

Question 46Corporate Governance and Organization of the Management Body

Что означает принцип разделения ролей председателя Совета директоров и единоличного исполнительного органа?

  1. Исполнительный орган подчиняется напрямую Общему собранию без Совета
  2. Председатель Совета директоров не должен одновременно являться руководителем исполнительного органа Correct answer.
  3. Председатель Совета директоров обязан быть акционером
  4. Ревизионная комиссия возглавляет Совет директоров

Explanation

Разделение ролей предполагает, что председатель Совета директоров не совмещает должность руководителя исполнительного органа. Это снижает концентрацию власти и усиливает надзорную функцию Совета. Требование акционерного статуса и прямое подчинение исполнительного органа собранию не являются содержанием этого принципа.

Question 47Corporate Governance and Organization of the Management Body

Каким образом Совет директоров обычно реализует контроль за деятельностью исполнительного органа?

  1. Через проведение внешнего аудита
  2. Через ежедневное оперативное руководство подразделениями
  3. Через ведение бухгалтерского учёта
  4. Через заслушивание отчётов, утверждение ключевых показателей и мониторинг рисков Correct answer.

Explanation

Совет директоров контролирует исполнительный орган путём заслушивания отчётов, утверждения стратегии и ключевых показателей, а также мониторинга рисков. Оперативное руководство и ведение учёта относятся к исполнительному уровню. Внешний аудит проводится независимой организацией, а не Советом.

Question 48Corporate Governance and Organization of the Management Body

Для чего в структуре корпоративного управления создаются комитеты Совета директоров?

  1. Для выполнения функций исполнительного органа
  2. Для замены Общего собрания акционеров
  3. Для проведения ревизий финансово-хозяйственной деятельности
  4. Для предварительной проработки вопросов и повышения качества решений Совета Correct answer.

Explanation

Комитеты создаются для предварительной проработки вопросов, углублённого анализа и подготовки рекомендаций Совету директоров. Они не заменяют Общее собрание и не выполняют функции исполнительного органа. Ревизионные функции закреплены за ревизионной комиссией.

Question 49Corporate Governance and Organization of the Management Body

Общество с крупным мажоритарным акционером формирует Совет директоров. Какой подход лучше защищает интересы миноритарных акционеров?

  1. Передача всех надзорных функций исполнительному органу
  2. Полное сосредоточение мест в Совете у представителей мажоритария
  3. Включение независимых директоров и создание комитета по аудиту под их руководством Correct answer.
  4. Отказ от раскрытия информации о сделках с заинтересованностью

Explanation

Независимые директора и комитет по аудиту под их руководством обеспечивают объективный надзор и снижают риск злоупотреблений со стороны мажоритария. Концентрация мест у представителей мажоритария ослабляет противовесы. Передача надзора менеджменту и отказ от раскрытия информации усиливают конфликт интересов.

Question 50Corporate Governance and Organization of the Management Body

Председатель Совета директоров одновременно является единоличным исполнительным органом общества. Как это оценивается с точки зрения надлежащего корпоративного управления?

  1. Как ослабление надзорной функции Совета из-за совмещения контроля и исполнения Correct answer.
  2. Как условие независимости директоров
  3. Как оптимальная модель, ускоряющая принятие решений
  4. Как обязательное требование законодательства

Explanation

Совмещение председательства в Совете и руководства исполнительным органом концентрирует контроль и исполнение в одних руках, что ослабляет надзор. Такая модель не является обязательным требованием и не обеспечивает независимость. Хотя она может ускорять решения, с точки зрения корпоративного управления это скорее риск.