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Punishment awarded:
The nature of a breach:
By results of inspection
Date of performance
07.11.2019
Статья/пункты НПА, Статья КоАП:
In accordance with the standard 28 of the Law of the Republic of Kazakhstan "On Microfinance Organizations" in accordance with the requirements of the legislation of the Republic of Kazakhstan and regulatory legal acts of the authorized body.
Note:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
MS Art 102 p 2
Date of performance
Статья/пункты НПА, Статья КоАП:
MS Art 102 p 2
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
subclause 2) of clause 2 art 102 of the Law on the Securities Market
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
subclause 2) of clause 2 art 102 of the Law on the Securities Market
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
The requirements of subparagraph 1) of paragraph 3 of Article 20 are not provided, the statements do not contain information on the value of the property provided to ensure the fulfillment by the borrower of obligations to repay microcredit and pay interest
Date of performance
18.11.2019
Статья/пункты НПА, Статья КоАП:
Subparagraph 1) of paragraph 3 of Article 20
Note:
Type of Enactments:
The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Shymkent branch
Punishment awarded:
The nature of a breach:
Violation of prudential standards as of report date 01 September 2019.
Date of performance
01.11.2019
Статья/пункты НПА, Статья КоАП:
In accordance with the requirements of Article 46 of the Banking Law
Note:
Type of Enactments:
,
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
378750
The nature of a breach:
no fixation of interaction in the premises of the Collecting Agency
Date of performance
16.11.2019
Статья/пункты НПА, Статья КоАП:
article 211-1 part 2 The Code of the Republic of Kazakhstan "On Administrative Infractions"
Note:
Type of Enactments:
law On collection activities
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
untimely placement of information on the total amount of remuneration to members of the executive body of the Company
Date of performance
Статья/пункты НПА, Статья КоАП:
subitem 2) points 2 articles 102 Laws on РЦБ
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
in violation of the requirements of paragraph 5 of Regulation No. 137, the specified value of the HESW was not provided in the letter, taking into account the changes
Date of performance
Статья/пункты НПА, Статья КоАП:
Paragraph 5 of Regulation No. 137
Note:
Type of Enactments:
Of the rules for calculating interest rates in reliable, annual, effective, comparable calculation (real value) for loans and deposits, approved by Resolution No. 137 of the Board of the National Bank of the Republic of Kazakhstan dated March 26, 2012
Name of Regional Branch of National Bank of Kazakhstan / Department:
Aktobe branch
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
4 330 375 тенге
The nature of a breach:
Violation by the entities of financial monitoring of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of criminally obtained incomes and the financing of terrorism in terms of documenting information about customers who conducted transactions subject to financial monitoring, as well as failure to comply with internal control rules.
Date of performance
Статья/пункты НПА, Статья КоАП:
part is first and second the articles 214 CODE of REPUBLIC of KAZAKHSTAN About ADMINISTRATIVE CRIMES
Note:
Court ruling in matters №№ 196300803000362,196300803000363,196300803000364,196300803000365,196300803000366,196300803000367,196300803000368,196300803000369,196300803000370,196300803000371,196300803000372
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
East-Kazakhstan branch
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
757500 теңге
The nature of a breach:
Systematic violation of prudential standards: 1) violation of the ratio k3-1
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 213 of the Administrative Code
Note:
Resolution imposing an administrative fine of 30/09/2019
Type of Enactments:
,
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
757500 теңге
The nature of a breach:
"Systematic violation of prudential standards: 1) violation of the NSFR ratio"
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 213 of the Administrative Code
Note:
Resolution imposing an administrative fine of 30/09/2019
Type of Enactments:
,
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
For violation of requirements the Law of the Republic of Kazakhstan "On Microfinance Organizations"
Date of performance
30.10.2019
Статья/пункты НПА, Статья КоАП:
Article 4 of the Law of the Republic of Kazakhstan "On Microfinance Organizations"
Note:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
West-Kazakhstan branch
Punishment awarded:
The nature of a breach:
Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
Law of the Republic of Kazakhstan "On Securities Market", article 102, paragraph 52
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
failure of the MFO to inform the borrower of a possible and completed transfer of rights (requirements) to a collection agency under a microloan agreement.
Date of performance
20.10.2019
Статья/пункты НПА, Статья КоАП:
subparagraphs 1), 2) of paragraph 8 of Article 9-1 of the Law of the Republic of Kazakhstan «On Microfinance Organizations»
Note:
Type of Enactments:
The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
East-Kazakhstan branch
Punishment awarded:
252 500
The nature of a breach:
Failure to submit, as well as untimely submission by the supplier of information to the credit bureau of information received from the subject of the credit history, the presentation of which is required in accordance with the legislation of the Republic of Kazakhstan on credit bureaus and the formation of credit histories, or the provision of false information
Date of performance
08.10.2019
Статья/пункты НПА, Статья КоАП:
Рart 3 of article 208, сode of Administrative Offenses
Note:
Type of Enactments:
On Credit Bureaus and Formation of Credit Histories in the Republic of Kazakhstan
Name of Regional Branch of National Bank of Kazakhstan / Department:
West-Kazakhstan branch
Punishment awarded:
The nature of a breach:
based on the results of checking standard contracts for compliance with the requirements of the legislation of the Republic of Kazakhstan
Date of performance
25.10.2019
Статья/пункты НПА, Статья КоАП:
In accordance with the standard 28 of the Law of the Republic of Kazakhstan "On Microfinance Organizations" in accordance with the requirements of the legislation of the Republic of Kazakhstan and regulatory legal acts of the authorized body.
Note:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
For violations of the requirements of the legislation of the Republic of Kazakhstan
Date of performance
31.03.2020
Статья/пункты НПА, Статья КоАП:
Regulation of the board of the NBRK No. 75 dated 27 the April 2018; Regulation of the board of the NBRK No. 304 dated 26 the December 2016
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
based on the results of checking standard contracts for compliance with the requirements of the legislation of the Republic of Kazakhstan
Date of performance
24.10.2019
Статья/пункты НПА, Статья КоАП:
In accordance with the standard 28 of the Law of the Republic of Kazakhstan "On Microfinance Organizations" in accordance with the requirements of the legislation of the Republic of Kazakhstan and regulatory legal acts of the authorized body.
Note:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
Lack of provisions (reserves) creation methodology
Date of performance
30.09.2019
Статья/пункты НПА, Статья КоАП:
Paragraph 38
Note:
Type of Enactments:
The rules for classifying assets and contingent liabilities for granted microloans, classifying assets for submitted microloans as doubtful and hopeless, as well as creating provisions (reserves) against them No. 62 dated 03/27/2018.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Mangistau branch
Punishment awarded:
378750
The nature of a breach:
violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity
Date of performance
Статья/пункты НПА, Статья КоАП:
article 464 part 1
Note:
Type of Enactments:
concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
For violation of requirements for: accounting, storage, transportation, collection of banknotes, coins and valuables; the premises; the organization of automobile collection services
Date of performance
23.10.2019
Статья/пункты НПА, Статья КоАП:
paragraphs 7, 8, 10, 14, 18, 19, 24, 27, 29 of Rules №254, paragraphs 23, 25-28, 35 of Rules №250, paragraphs 13, 14 of Instruction №110
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
1515000 тенге; 1696800 тенге
The nature of a breach:
Non-provision, and equally untimely provision of details by an information provider to the credit bureau, received from a subject of credit history, the presentation of which is required in accordance with the legislation of the Republic of Kazakhstan on credit bureau and formation of credit histories, or provision of inaccurate details, shall
Date of performance
22.10.2019
Статья/пункты НПА, Статья КоАП:
part 3 of 208 clause
Note:
№119 21.10.2019, №101 04.10.2019 exepted
Type of Enactments:
On Credit Bureaus and Formation of Credit Histories in the Republic of Kazakhstan
Name of Regional Branch of National Bank of Kazakhstan / Department:
Karaganda branch
Punishment awarded:
303000
The nature of a breach:
Failure to implement a limited measure
Date of performance
28.10.2019
Статья/пункты НПА, Статья КоАП:
article 227 part 3 The Code of the Republic of Kazakhstan "On Administrative Infractions"
Note:
Type of Enactments:
The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Kyzylorda branch
Punishment awarded:
The nature of a breach:
non-deployment of decision of only holder of bonds
Date of performance
07.10.2019
Статья/пункты НПА, Статья КоАП:
point 5 articles 18-2 Laws on
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
MS Art 102 p 2
Date of performance
Статья/пункты НПА, Статья КоАП:
MS Art 102 p 2
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
untimely provision of information on changes to documents and untimely provision of information about persons having control over a collection agency
Date of performance
30.09.2019
Статья/пункты НПА, Статья КоАП:
Note:
Type of Enactments:
law On collection activities
Name of Regional Branch of National Bank of Kazakhstan / Department:
Shymkent branch
Punishment awarded:
The nature of a breach:
The terms of the standard contract do not correspond to the List approved by the Resolution of the National Bank's Board No. 264; in the standard contract, commissions are indicated that do not correspond to the Resolution of the National Bank's Board No. 134; the terms of the model contract do not comply with the Civil Code and other regulatory legal acts.
Date of performance
11.10.2019
Статья/пункты НПА, Статья КоАП:
Article 4 of the Law of the Republic of Kazakhstan "On Microfinance Organizations"
Note:
Type of Enactments:
The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
based on the results of checking standard contracts for compliance with the requirements of the legislation of the Republic of Kazakhstan
Date of performance
11.10.2019
Статья/пункты НПА, Статья КоАП:
In accordance with the standard 28 of the Law of the Republic of Kazakhstan "On Microfinance Organizations" in accordance with the requirements of the legislation of the Republic of Kazakhstan and regulatory legal acts of the authorized body.
Note:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
Date of performance
Статья/пункты НПА, Статья КоАП:
p.5 art. 217
Note:
Type of Enactments:
concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
0.00
The nature of a breach:
Date of performance
Статья/пункты НПА, Статья КоАП:
article 217 part 1
Note:
Type of Enactments:
concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
15 МРП 37 875 тг
The nature of a breach:
Date of performance
19.10.2019
Статья/пункты НПА, Статья КоАП:
p.6 art. 217
Note:
Type of Enactments:
concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
rules of 144
Date of performance
16.09.2019
Статья/пункты НПА, Статья КоАП:
article 227 part 1, article 214 part 1
Note:
Type of Enactments:
Rules of org-n of exchange operations with available foreign currency in RK №144//The Law of the RK «On Accounting and Financial Reporting»//The Law of RK«On Counteraction of Legitimization of Incomes Received by Illegal Means, and Financing of Terrorism»
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
Provided microcredit is not registered in registration journal of borrowers, the absence of consent of the subject of credit history to represent the data about him/her in the credit bureau
Date of performance
04.10.2019
Статья/пункты НПА, Статья КоАП:
Paragraph 1 of the article 20 of the Law of Republic of Kazakhstan about micro financial organizations, subparagraphs 1), 3) of the article 19 of the Law of Republic of Kazakhstan about credit bureau
Note:
Type of Enactments:
Law "On Microfinance Organizations", Law "On Credit Bureaus and Formation of Credit Histories in the Republic of Kazakhstan"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Zhambyl branch
Punishment awarded:
555500
The nature of a breach:
violation of the Law
Date of performance
12.10.2019
Статья/пункты НПА, Статья КоАП:
article 214 part 1
Note:
Type of Enactments:
Закон Республики Казахстан от 28.08.2009г. «О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма», Правила организации обменных операций с наличной иностранной валютой в Республике Казахстан №144
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
Violation of prudential standards as of report date 01 August 2019.
Date of performance
01.10.2019
Статья/пункты НПА, Статья КоАП:
In accordance with the requirements of Article 46 of the Banking Law
Note:
Type of Enactments:
,
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
01.10.2019
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
757500 теңге
The nature of a breach:
Systematic violation of prudential standards: 1) violation of the liquidity ratio k4
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 213 of the Administrative Code
Note:
Resolution imposing an administrative fine of 02/09/2019
Type of Enactments:
,
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
757500 теңге
The nature of a breach:
Systematic violation of prudential standards: 1) violation of the liquidity ratio k4-4
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 213 of the Administrative Code
Note:
Resolution imposing an administrative fine of 02/09/2019
Type of Enactments:
,
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
757500 теңге
The nature of a breach:
Systematic violation of prudential standards: 1) violation of the liquidity coverage ratio
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 213 of the Administrative Code
Note:
Resolution imposing an administrative fine of 02/09/2019
Type of Enactments:
,
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
11 696,35
The nature of a breach:
Unreasonable refusal by banks, organizations carrying out certain types of banking operations, in the execution of instructions on payment and (or) transfer of money in the absence of grounds for refusal to comply with the instruction specified in the Law of the Republic of Kazakhstan "On Payments and Payment Systems"
Date of performance
12.10.2019
Статья/пункты НПА, Статья КоАП:
Part 4 Clause 220 of Administrative Violations Code of the Republic of Kazakhstan.
Note:
Type of Enactments:
concerning the compliance with the law on payments and payment systems
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
126250
The nature of a breach:
Administrative sanction was applied due to repeated non-compliance (two or more times within consecutive calendar months) by the professional participant of the securities market, with the requirements provided for by legislation
Date of performance
Статья/пункты НПА, Статья КоАП:
art. 262
Note:
The fine was paid on 10.09.2019
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
accounting policy does not reflect the needs and characteristics of the organisation
Date of performance
05.09.2019
Статья/пункты НПА, Статья КоАП:
section 5, clause 6 of Law of the RK "On Accounting and financial reporting"
Note:
Type of Enactments:
The Law of the RK «On Accounting and Financial Reporting»
Name of Regional Branch of National Bank of Kazakhstan / Department:
Mangistau branch
Punishment awarded:
The nature of a breach:
untimely reporting
Date of performance
28.08.2019
Статья/пункты НПА, Статья КоАП:
article 212 part 1 The Code of the Republic of Kazakhstan "On Administrative Infractions"
Note:
Type of Enactments:
concerning the compliance with the law on payments and payment systems
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
untimely reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
Part one of article 212 of the administrative Code
Note:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
West-Kazakhstan branch
Punishment awarded:
126250
The nature of a breach:
during the initial contact with the debtor, the collection agency did not announce information in accordance with paragraph 1 of Article 5 of the Law of the Republic of Kazakhstan "On Collection Activity"
Date of performance
24.09.2019
Статья/пункты НПА, Статья КоАП:
article 211-1 part 2 The Code of the Republic of Kazakhstan "On Administrative Infractions"
Note:
Type of Enactments:
law On collection activities
Name of Regional Branch of National Bank of Kazakhstan / Department:
Shymkent branch
Punishment awarded:
The nature of a breach:
inaccurate reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
article 211-1 part 4 The Code of the Republic of Kazakhstan "On Administrative Infractions"
Note:
Type of Enactments:
on submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
Law of the Republic of Kazakhstan "On Securities Market", article 102, paragraph 5
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
Law of the Republic of Kazakhstan "On Securities Market", article 102, paragraph 5
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
0
The nature of a breach:
Violation of subparagraph 14) of paragraph 80 of Regulation No. 208
Date of performance
Статья/пункты НПА, Статья КоАП:
Note:
Type of Enactments:
Resolution of the Board of the National Bank of the Republic of Kazakhstan of August 31, 2016 No. 208 On approval of the Rules for the implementation of non-cash payments and (or) money transfers in the territory of the Republic of Kazakhstan
Name of Regional Branch of National Bank of Kazakhstan / Department:
Aktobe branch
Punishment awarded:
The nature of a breach:
Measures to improve financial condition and / or minimize risks (written prescription)
Date of performance
10.09.2019
Статья/пункты НПА, Статья КоАП:
Article 46 of the Banking Law
Note:
Type of Enactments:
Non-fulfillment, untimely fulfillment of obligations accepted and (or) imposed by applying restrictive enforcement measures
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
1 010 000 теңге
The nature of a breach:
Non-submission to the authorized body of information and information on transactions subject to financial monitoring.
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 214 of the Administrative Code; By a court decision, it was reclassified to part 1 of article 214 of the Administrative Code.
Note:
The court ruling was issued June 26, 2019; A ruling of the court of appeal was issued on August 22, 2019.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
1 010 000 теңге
The nature of a breach:
Non-submission to the authorized body of information and information on transactions subject to financial monitoring.
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 214 of the Administrative Code; By a court decision, it was reclassified to part 1 of article 214 of the Administrative Code.
Note:
The court ruling was issued June 26, 2019; A ruling of the court of appeal was issued on August 22, 2019.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
1 010 000 теңге
The nature of a breach:
Non-submission to the authorized body of information and information on transactions subject to financial monitoring.
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 214 of the Administrative Code; By a court decision, it was reclassified to part 1 of article 214 of the Administrative Code.
Note:
The court ruling was issued June 26, 2019; A ruling of the court of appeal was issued on August 22, 2019.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
1 010 000 теңге
The nature of a breach:
Non-submission to the authorized body of information and information on transactions subject to financial monitoring.
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 214 of the Administrative Code; By a court decision, it was reclassified to part 1 of article 214 of the Administrative Code.
Note:
The court ruling was issued June 26, 2019; A ruling of the court of appeal was issued on August 22, 2019.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
1 010 000 теңге
The nature of a breach:
Non-submission to the authorized body of information and information on transactions subject to financial monitoring.
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 214 of the Administrative Code; By a court decision, it was reclassified to part 1 of article 214 of the Administrative Code.
Note:
The court ruling was issued June 26, 2019; A ruling of the court of appeal was issued on August 22, 2019.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
1 010 000 теңге
The nature of a breach:
Non-submission to the authorized body of information and information on transactions subject to financial monitoring.
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 214 of the Administrative Code; By a court decision, it was reclassified to part 1 of article 214 of the Administrative Code.
Note:
The court ruling was issued June 26, 2019; A ruling of the court of appeal was issued on August 22, 2019.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
1 010 000 теңге
The nature of a breach:
Non-submission to the authorized body of information and information on transactions subject to financial monitoring.
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 4 of Article 214 of the Administrative Code; By a court decision, it was reclassified to part 1 of article 214 of the Administrative Code.
Note:
The court ruling was issued June 26, 2019; A ruling of the court of appeal was issued on August 22, 2019.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
1111000
The nature of a breach:
Administrative sanction was applied due to inappropriate subjects of financial monitoring legislation of Republic of Kazakhstan on countering the legalization (laundering) of illegally obtained, and the financing of terrorism in terms of providing information on transactions subject to financial monitoring.
Date of performance
Статья/пункты НПА, Статья КоАП:
article 214 part 1
Note:
The decision of Almaty city SIRAC on 05.07.2019. The decision of The Municipal Court of Almaty City on 20.08.2019.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
MS Art 18-2 p 3
Date of performance
20.09.2019
Статья/пункты НПА, Статья КоАП:
MS Art 18-2 p 3
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
subclause 1) of clause 2 art 102 of the Law on the Securities Market
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance
Статья/пункты НПА, Статья КоАП:
the Law of the Republic of Kazakhstan "On Securities Market", article 102
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Non-provision of financial and other reports
Date of performance
24.09.2019
Статья/пункты НПА, Статья КоАП:
violation of the requirements of subparagraph 3) of paragraph 2 of article 102 of the Law on the Securities Market
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
For violation of requirements for: accounting, storage, transportation, collection of banknotes, coins and valuables; the premises
Date of performance
20.09.2019
Статья/пункты НПА, Статья КоАП:
paragraphs 10, 11, 13, 14, 19, 20, 25, 28, 29, 30 of Rules №254, paragraphs 25, 40 of Rules №250
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Measures to improve financial condition and / or minimize risks (written prescription)
Date of performance
29.08.2019
Статья/пункты НПА, Статья КоАП:
Article 46 of the Banking Law
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
inaccurate reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
article 211-1 part 4 The Code of the Republic of Kazakhstan "On Administrative Infractions"
Note:
Type of Enactments:
on submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
MS Art 102 p 2
Date of performance
Статья/пункты НПА, Статья КоАП:
MS Art 102 p 2
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
2777500
The nature of a breach:
Administrative sanction was applied due to inappropriate subjects of financial monitoring legislation of Republic of Kazakhstan on countering the legalization (laundering) of illegally obtained, and the financing of terrorism in terms of providing information on transactions subject to financial monitoring.
Date of performance
Статья/пункты НПА, Статья КоАП:
article 214 part 1
Note:
The decision of Almaty city SIRAC on 05.07.2019. The decision of The Municipal Court of Almaty City on 15.08.2019.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
757 500 тенге
The nature of a breach:
Non-provision, and equally untimely provision of details by an information provider to the credit bureau, received from a subject of credit history, the presentation of which is required in accordance with the legislation of the Republic of Kazakhstan on credit bureau and formation of credit histories, or provision of inaccurate details, shall
Date of performance
20.09.2019
Статья/пункты НПА, Статья КоАП:
part 3 of 208 clause
Note:
Type of Enactments:
On Credit Bureaus and Formation of Credit Histories in the Republic of Kazakhstan
Name of Regional Branch of National Bank of Kazakhstan / Department:
Mangistau branch
Punishment awarded:
101000
The nature of a breach:
non-presentation of financial and other reporting by microfinancial organizations within established term, the presentation of which is required in accordance with the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Date of performance
24.09.2019
Статья/пункты НПА, Статья КоАП:
article 212 part 3 The Code of the Republic of Kazakhstan "On Administrative Infractions"
Note:
Type of Enactments:
on submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Kyzylorda branch
Punishment awarded:
The nature of a breach:
MS Art 102 p 2
Date of performance
16.09.2019
Статья/пункты НПА, Статья КоАП:
MS Art 102 p 2
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
MS Art 102 p 2
Date of performance
16.09.2019
Статья/пункты НПА, Статья КоАП:
MS Art 102 p 2
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
MS Art 102 p 2
Date of performance
16.09.2019
Статья/пункты НПА, Статья КоАП:
MS Art 102 p 2
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Non-provision of financial and other reports
Date of performance
17.09.2019
Статья/пункты НПА, Статья КоАП:
violation of the requirements of subparagraph 3) of paragraph 2 of article 102 of the Law on the Securities Market
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Non-provision of financial and other reports
Date of performance
16.09.2019
Статья/пункты НПА, Статья КоАП:
violation of the requirements of subparagraph 3) of paragraph 2 of article 102 of the Law on the Securities Market
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Paragraph 2 of Article 102 of the Law on the Securities Market
Date of performance
Статья/пункты НПА, Статья КоАП:
Paragraph 2 of Article 102 of the Law on the Securities Market
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Non-provision of financial and other reports
Date of performance
05.09.2019
Статья/пункты НПА, Статья КоАП:
violation of the requirements of subparagraph 3) of paragraph 2 of article 102 of the Law on the Securities Market
Note:
non-listing of affiliates
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
In connection with the violation of the established terms for the disclosure of information about its activities
Date of performance
Статья/пункты НПА, Статья КоАП:
subclause 1) of clause 2 art 102 of the Law on the Securities Market
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
ill-timed placing of list of persons on the state on 01.07.2019
Date of performance
Статья/пункты НПА, Статья КоАП:
violation of of requirement of subitem 3) points 2 articles 102 Laws on
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
0
The nature of a breach:
Within the established period, the Methodology for creating provisions was not developed and approved
Date of performance
27.08.2019
Статья/пункты НПА, Статья КоАП:
Paragraph 38
Note:
Type of Enactments:
The rules for classifying assets and contingent liabilities for granted microloans, classifying assets for submitted microloans as doubtful and hopeless, as well as creating provisions (reserves) against them No. 62 dated 03/27/2018.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Mangistau branch
Punishment awarded:
The nature of a breach:
Violation of the requirements of paragraph 1 of Article 45 of the JSC Law
Date of performance
22.08.2019
Статья/пункты НПА, Статья КоАП:
Article 46 of the Banking Law
Note:
Type of Enactments:
"On joint stock companies" The Law of the Republic of Kazakhstan
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
Paragraph 2 of Article 102 of the Law on the Securities Market
Date of performance
Статья/пункты НПА, Статья КоАП:
Paragraph 2 of Article 102 of the Law on the Securities Market
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
the requirements of the authorized body regarding the minimum amount of equity capital
Date of performance
22.08.2019
Статья/пункты НПА, Статья КоАП:
paragraph 6 For violation of Prudential standards and other binding norms for microfinance organization limits and the method of their calculation
Note:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Karaganda branch
Punishment awarded:
The nature of a breach:
Non-compliance with prudential standards
Date of performance
31.08.2019
Статья/пункты НПА, Статья КоАП:
Subparagraph 8) of paragraph 2 of Article 7 of the Law of the Republic of Kazakhstan "On microfinance оrganizations"
Note:
Type of Enactments:
The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Kyzylorda branch
Punishment awarded:
The nature of a breach:
Non-provision of financial and other reports
Date of performance
31.08.2019
Статья/пункты НПА, Статья КоАП:
Subparagraph 9) of paragraph 2 of Article 7 of the Law of the Republic of Kazakhstan "On microfinance оrganizations"
Note:
Type of Enactments:
The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Kyzylorda branch
Punishment awarded:
The nature of a breach:
violation of the deadline for submission of information
Date of performance
Статья/пункты НПА, Статья КоАП:
102 article violation of requirements of the article 102 The Law of the Republic of Kazakhstan On securities market
Note:
Type of Enactments:
on submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
505 000 тенге
The nature of a breach:
Non-provision, and equally untimely provision of details by an information provider to the credit bureau, received from a subject of credit history, the presentation of which is required in accordance with the legislation of the Republic of Kazakhstan on credit bureau and formation of credit histories, or provision of inaccurate details, shall
Date of performance
20.08.2019
Статья/пункты НПА, Статья КоАП:
part 3 of 208 clause
Note:
penalty paid payment order № 00-000317 from 20.08.2019 G.
Type of Enactments:
On Credit Bureaus and Formation of Credit Histories in the Republic of Kazakhstan
Name of Regional Branch of National Bank of Kazakhstan / Department:
Karaganda branch

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Contact Us: 21 "Koktem-3", Almaty, 050040,
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Fax: 7 (727) 2704-703, + 7( 727) 2617-352, +7 (727) 2704-799
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