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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:
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:
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:
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:
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:
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:
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:
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:
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:
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:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
The nature of a breach:
violation of the deadline for submission of information
Date of performance
Статья/пункты НПА, Статья КоАП:
violation of requirements of the article 102 The Law of the Republic of Kazakhstan On 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:
violation of the deadline for submission of information
Date of performance
Статья/пункты НПА, Статья КоАП:
violation of requirements of the article 102 The Law of the Republic of Kazakhstan On 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:
By results of inspection
Date of performance
20.08.2019
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:
252 500
The nature of a breach:
Administrative offense, expressed in repeated (two or more times within twelve consecutive calendar months) provision to the authorized body of unreliable and incomplete reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
part 2 of article 256 Code of the Republic of Kazakhstan "On Administrative Infractions"
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 reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
article 212 part 1 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:
Central headquarters
Punishment awarded:
The nature of a breach:
Paragraph 38 of Rules No 144- carrying out exchange transactions in exchange office at discrepancy of the equipment for exchange office to requirements of Paragraph 31 of Rules No 144 (technical failure) Paragraph 51 of Rules No. 144: - when carrying out in exchange offices of «Magnat» LLP of exchange transactions for the sum exceeding an equivalent of 500,000 (five hundred thousand) Kazakhstan tenge at the rate of carrying out exchange transaction - incorrect reflection of sign of residence in the magazine of registers of the bought and sold cash foreign currency (further – the magazine of registers); - absence in the online magazine of registers of the details and indicators established by appendix form 11 to Rules No 144; Paragraph 53 of Rules No 144 - not fixation in the magazine of registers when carrying out operations for the sum exceeding an equivalent of 500,000.0 Kazakhstani tenge at the rate of carrying out exchange transaction of period of validity of the identity document of the client and his legal address.
Date of performance
Статья/пункты НПА, Статья КоАП:
Note:
Type of Enactments:
concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
East-Kazakhstan branch
Punishment awarded:
The nature of a breach:
By results of inspection
Date of performance
03.09.2019
Статья/пункты НПА, Статья КоАП:
Note:
Type of Enactments:
,
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty Regional 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:
untimely reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
article 212 part 1 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:
Central headquarters
Punishment awarded:
The nature of a breach:
For violation of Prudential standards and other binding norms for microfinance organization limits and the method of their calculation, as well as forms and terms of reporting on their implementation PP NBK dated July 31, 2017 No. 148
Date of performance
08.08.2019
Статья/пункты НПА, Статья КоАП:
paragraph 5 and 12 of Prudential standards and other binding norms for microfinance organization limits and the method of their calculation , as well as forms and terms of reporting on their implementation
Note:
Type of Enactments:
,
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
untimely reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
article 212 part 1 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:
untimely reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
article 212 part 1 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:
Failure to provide requested information
Date of performance
01.08.2019
Статья/пункты НПА, Статья КоАП:
paragraph 13 of article 62-4 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan»
Note:
executed by letter №31/2 from 01.08.2019 G.
Type of Enactments:
LAW CONCERNING THE NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN
Name of Regional Branch of National Bank of Kazakhstan / Department:
Karaganda branch
Punishment awarded:
The nature of a breach:
According to 46 article of the Law of the Republic of Kazakhstan dated 31 August 1995 No 2444 «On Banks and Banking Activities in the Republic of Kazakhstan» a written instruction was applied due to the bank's violation of the law of the Republic of Kazakhstan
Date of performance
08.08.2019
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:
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:
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:
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:
252 500
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
23.08.2019
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:
Almaty Regional branch
Punishment awarded:
252 500
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
23.08.2019
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:
Almaty Regional branch
Punishment awarded:
4 383 400 тенге
The nature of a breach:
Violation by the subjects of the financial monitoring of legislation of Republic of Kazakhstan about counteraction of legalization (to washing) of the acuestss got a criminal way, and to financing of terrorism in part of the documentary jigging, storage and grant of information about operations subject to the financial monitoring, their clients, proper verification of clients (their representatives) and beneficiary owners, stopping and abandonment from realization of operations subject to the financial monitoring, defence of the documents got in the process of the activity
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 №№ 196300803000340,196300803000341,196300803000342,196300803000343,196300803000344,196300803000345,196300803000346,196300803000347,196300803000348,196300803000349,196300803000350
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
East-Kazakhstan branch
Punishment awarded:
5 302 500 тенге
The nature of a breach:
Violation by the subjects of the financial monitoring of legislation of Republic of Kazakhstan about counteraction of legalization (to washing) of the acuestss got a criminal way, and to financing of terrorism in part of the documentary jigging, storage and grant of information about operations subject to the financial monitoring, their clients, proper verification of clients (their representatives) and beneficiary owners, stopping and abandonment from realization of operations subject to the financial monitoring, defence of the documents got in the process of the activity
Date of performance
Статья/пункты НПА, Статья КоАП:
parts first and second the articles 214 CODE of REPUBLIC of KAZAKHSTAN About ADMINISTRATIVE CRIMES
Note:
Court ruling in matters №№ 196300803000013,196300803000022,196300803000023,196300803000031,196300803000034,196300803000035,196300803000036,196300803000040,196300803000042,196300803000043,196300803000046,196300803000055,196300803000056,196300803000058,196300803000060,196300803000065,196300803000066,196300803000067,196300803000075,196300803000076,196300803000080,196300803000082,196300803000085,196300803000086,196300803000091,196300803000092,196300803000097,196300803000099,196300803000111,196300803000117,196300803000118,196300803000119,196300803000122,196300803000140,196300803000141,196300803000142,196300803000143,196300803000144,196300803000145,196300803000146,196300803000147,196300803000148,196300803000172,196300803000173,196300803000174,196300803000175,196300803000176,196300803000177,196300803000178,196300803000179,196300803000180,196300803000181,196300803000182,196300803000183,196300803000184,196300803000198,196300803000199,196300803000200,196300803000201,196300803000202,196300803000203,196300803000204,196300803000205,196300803000227,196300803000230,196300803000231,196300803000232,196300803000233,196300803000234,196300803000235,196300803000236,196300803000237,196300803000238,196300803000239,196300803000240,196300803000241,196300803000242
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
East-Kazakhstan branch
Punishment awarded:
The nature of a breach:
administrative sanction was applied due to in the submission to the authorized body false statements
Date of performance
Статья/пункты НПА, Статья КоАП:
article 211-1 part 4 of paragraph 211-1 The Code of the Republic of Kazakhstan "On Administrative Infractions"
Note:
Type of Enactments:
on issues of reporting by collection agencies
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
violation in terms of specifying in the contract the size of the GESV in hundredths, the use of a different font and not specifying the interest rate in annual terms
Date of performance
05.08.2019
Статья/пункты НПА, Статья КоАП:
Clause 6 of the Rules for calculating the annual effective interest rate on microcredits provided by the NBRK dated December 24, 2012 No. 378; Clause 2 and Sub-Clause 6) of Clause 3 of the List of Obligatory Provisions of the Agreement on the Provision of Microcredit by the NB RK of 29.10.2018 No. 264
Note:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
The nature of a breach:
untimely reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
article 212 part 1 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:
266 577 тенге
The nature of a breach:
For violation of the Republic of Kazakhstan legislation concerning accounting and financial reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
p.4 a. 239
Note:
Resolution on imposing an administrative penalty in the case of an administrative offense of 30.07.2009
Type of Enactments:
on compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
1563054
The nature of a breach:
Аdministrative sanction was applied due to conclusion of an obligatory insurance contract by an insurance (reinsurance) company on conditions that do not comply with the requirements of the legislation of the Republic of Kazakhstan, expressed in setting the size of insurance premiums other than those specified by the laws of the Republic of Kazakhstan on compulsory types of insurance, as well as incorrect (unreasonable) application of coefficients in calculating insurance premiums
Date of performance
16.09.2019
Статья/пункты НПА, Статья КоАП:
part 5 of article 230
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
2020000
The nature of a breach:
Аdministrative sanction was applied due to violation of the requirements established by the legislation of the Republic of Kazakhstan on accounting and financial reporting, and methods (principles) accounting, which led to a distortion of the financial statements by the financial and microfinancial organizations
Date of performance
16.09.2019
Статья/пункты НПА, Статья КоАП:
part 4 of article 239
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:
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:
Failure to provide the requested information in time.
Date of performance
25.07.2019
Статья/пункты НПА, Статья КоАП:
paragraph 3 article 62-3
Note:
Type of Enactments:
LAW CONCERNING THE NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN
Name of Regional Branch of National Bank of Kazakhstan / Department:
Karaganda branch
Punishment awarded:
The nature of a breach:
untimely reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
1-st part of article 212 of The Code of the Republic of Kazakhstan "On Administrative Infractions", subparagraph 11) of paragraph 1 of Article 15 of the Law on Collection Activities
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:
late reporting
Date of performance
23.07.2019
Статья/пункты НПА, Статья КоАП:
Resolution of the Board of the National Bank Republic of Kazakhstan dated June 30, 2017 No. 112 "On approval of the list, forms, deadlines and Rules for reporting by the collection agency
Note:
19.07.2019 by letterr № 4, 22.07.2019 executed
Type of Enactments:
law On collection activities
Name of Regional Branch of National Bank of Kazakhstan / Department:
Karaganda branch
Punishment awarded:
The nature of a breach:
the collection agency does not record the process of interaction with the debtor by means of audio or video equipment in the premises of the collection agency (branch, representative office) at the place of its location and storing audio and (or) video materials for six months from the date of interaction with the debtor and ( or) his representative.
Date of performance
Статья/пункты НПА, Статья КоАП:
subparagraph 14) of paragraph 1 of Article 15 of the Law on Collection Activities
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:
violation of the deadline for submission of information
Date of performance
31.07.2019
Статья/пункты НПА, Статья КоАП:
Subparagraph 18) of paragraph 1 of Article 15
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:
violation of the deadline for submission of information
Date of performance
31.07.2019
Статья/пункты НПА, Статья КоАП:
Subparagraph 18) of paragraph 1 of Article 15
Note:
Type of Enactments:
law On collection activities
Name of Regional Branch of National Bank of Kazakhstan / Department:
Almaty City branch
Punishment awarded:
252500
The nature of a breach:
For violation of the legislation Repablic of Kazakhstan on accounting and financial reporting
Date of performance
24.08.2019
Статья/пункты НПА, Статья КоАП:
р.4 а.239
Note:
Type of Enactments:
The Law of the RK «On Accounting and Financial Reporting»
Name of Regional Branch of National Bank of Kazakhstan / Department:
North-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:
By results of inspection
Date of performance
29.07.2019
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:
Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of criminal proceeds and the financing of terrorism in terms of documenting, storing and providing information on operations subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficial ones owners, suspension and refusal from conducting operations subject to financial monitoring, protection of documents received in the process its activities
Date of performance
Статья/пункты НПА, Статья КоАП:
part one of article 214 CODE OF THE REPUBLIC OF KAZAKHSTAN ON ADMINISTRATIVE OFFENSES
Note:
Court decision on cases №№ 196300803000243,196300803000244,1963008030000245,196300803000246,196300803000248,196300803000250,196300803000251,196300803000252,196300803000255,196300803000256,1963008030000257,196300803000258,196300803000260,196300803000262,196300803000264,196300803000265,196300803000266,196300803000267,196300803000269,196300803000270,196300803000272, 196300803000273,196300803000274,196300803000280,196300803000281,196300803000282,196300803000284,196300803000285,196300803000289,196300803000290,196300803000295, 196300803000298,196300803000299,196300803000302,196300803000303,196300803000304,196300803000306,196300803000308,196300803000309,196300803000310,196300803000311,196300803000313,196300803000314,196300803000315,196300803000316,196300803000318,196300803000320,196300803000321,196300803000326,196300803000327,196300803000328,196300803000331,196300803000297,196300803000247,196300803000286,196300803000330,196300803000261,196300803000271,19630080300263,196300803000322,196300803000293,196300803000324,196300803000323,196300803000253,196300803000300,196300803000312,196300803000291,196300803000305,196300803000301,196300803000287
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
East-Kazakhstan branch
Punishment awarded:
5 302 500 тенге
The nature of a breach:
Violation by the subjects of the financial monitoring of legislation of Republic of Kazakhstan about counteraction of legalization (to washing) of the acuestss got a criminal way, and to financing of terrorism in part of the documentary jigging, storage and grant of information about operations subject to the financial monitoring, their clients, proper verification of clients (their representatives) and beneficiary owners, stopping and abandonment from realization of operations subject to the financial monitoring, defence of the documents got in the process of the activity
Date of performance
Статья/пункты НПА, Статья КоАП:
part is first the articles 214 CODE of REPUBLIC of KAZAKHSTAN About ADMINISTRATIVE CRIMES
Note:
Court ruling in matters № 196300803000011,196300803000014,196300803000016,196300803000017,196300803000018,196300803000024,196300803000025,196300803000027,196300803000028,196300803000029,196300803000032,196300803000037,196300803000038,196300803000041,196300803000047,196300803000048,196300803000050,196300803000053,196300803000054,196300803000057,196300803000059,196300803000061,196300803000062,196300803000063,196300803000069,196300803000072,196300803000073,196300803000074,196300803000081,196300803000084,196300803000087,196300803000088,196300803000089,196300803000105,196300803000106,196300803000107,196300803000110,196300803000133,196300803000137,196300803000138,196300803000171,196300803000185,196300803000186,196300803000187,196300803000189,196300803000190,196300803000191,196300803000192,196300803000193,196300803000194,196300803000195,196300803000196,196300803000206,196300803000207,196300803000208,196300803000209,196300803000210,196300803000211,196300803000212,196300803000213,196300803000214,196300803000215,196300803000216,196300803000217,196300803000218,196300803000219,196300803000220,196300803000221,196300803000222,196300803000223,196300803000224,196300803000225,196300803000226,196300803000228,196300803000229,196300803000010
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
East-Kazakhstan branch
Punishment awarded:
5 302 500 тенге
The nature of a breach:
Violation by the subjects of the financial monitoring of legislation of Republic of Kazakhstan about counteraction of legalization (to washing) of the acuestss got a criminal way, and to financing of terrorism in part of the documentary jigging, storage and grant of information about operations subject to the financial monitoring, their clients, proper verification of clients (their representatives) and beneficiary owners, stopping and abandonment from realization of operations subject to the financial monitoring, defence of the documents got in the process of the activity
Date of performance
Статья/пункты НПА, Статья КоАП:
part is first the articles 214 CODE of REPUBLIC of KAZAKHSTAN About ADMINISTRATIVE CRIMES
Note:
Court ruling in matters №№ 196300803000020,196300803000021,196300803000026,196300803000030,196300803000033,196300803000039,196300803000012,196300803000015,196300803000019,196300803000044,196300803000049,196300803000051,196300803000052,196300803000053,196300803000064,196300803000068,196300803000070,196300803000071,196300803000077,196300803000078,196300803000079,196300803000083,196300803000090,196300803000093,196300803000094,196300803000095,196300803000096,196300803000098,196300803000100,196300803000101,196300803000102,196300803000103,196300803000104,196300803000108,196300803000109,196300803000112,196300803000113,196300803000114,196300803000115,196300803000116,196300803000120,196300803000121,196300803000123,196300803000124,196300803000125,196300803000126,196300803000127,196300803000128,196300803000129,196300803000130,196300803000131,196300803000132,196300803000134,196300803000135,196300803000136,196300803000139,196300803000149,196300803000150,196300803000151,196300803000152,196300803000153,196300803000154,196300803000155,196300803000156,196300803000157,196300803000158,196300803000159,196300803000160,196300803000161,196300803000162,196300803000163,196300803000164,196300803000165,196300803000166,196300803000167,196300803000168,196300803000169,196300803000170.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
East-Kazakhstan branch
Punishment awarded:
The nature of a breach:
inaccurate reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 7 of Article 218
Note:
Type of Enactments:
Қазақстан Республикасында қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыру қағидалары №144
Name of Regional Branch of National Bank of Kazakhstan / Department:
Akmola branch
Punishment awarded:
The nature of a breach:
violation of paragraph 2 of paragraph 37 of the Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan №144 dated 16.07.2014
Date of performance
Статья/пункты НПА, Статья КоАП:
paragraph 2 of paragraph 37
Note:
Type of Enactments:
Қазақстан Республикасында қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыру қағидалары №144
Name of Regional Branch of National Bank of Kazakhstan / Department:
Karaganda branch
Punishment awarded:
The nature of a breach:
violation of the deadline for submission of information
Date of performance
07.08.2019
Статья/пункты НПА, Статья КоАП:
Subparagraph 18) of paragraph 1 of Article 15
Note:
Performed
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:
untimely reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
article 212 part 1 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:
Central headquarters
Punishment awarded:
The nature of a breach:
violation of term of presentation to the central depositary of order about translation of the purchased securities
Date of performance
Статья/пункты НПА, Статья КоАП:
point 6 articles 22 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:
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:
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 2 subparagraph 1 ) and paragraph 7 of the annex 2 of Rules №189
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
37875
The nature of a breach:
Vrolation of the procedure for submitting reports on issued registration certificates or certificates on the notice or certificates of currency monitoring, on exchange operations with foreign currency in cash, as well as information and documents confirming the occurrence of circumstances that affect the terms and conditions of repatriation of national and foreign currency 1. Submission doubtful reporting on issued registration certificates or certificates of the nofice or on currency monitoring, on exchange operations with foreign currency in cash entails a warning to individuals and legal entities.
Date of performance
Статья/пункты НПА, Статья КоАП:
Article 218 part 6 On Administrative Infractions
Note:
Executed by electronic payment order No. 0000049070 dated 19.07.2019y.
Type of Enactments:
Қазақстан Республикасында қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыру қағидалары №144
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
3 333 000 тенге
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:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
631 250 тенге
The nature of a breach:
Compliance with the requirements of legislation on counteraction to legalization (laundering) of proceeds from crime and financing of terrorism
Date of performance
Статья/пункты НПА, Статья КоАП:
article 214 part 2
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 the regulations set by the Law on the National Bank of the Republic of Kazakhstan, article 62-3, paragraph 3
Date of performance
15.07.2019
Статья/пункты НПА, Статья КоАП:
Note:
implemented
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 2 subparagraph 7 ) and paragraph 21 of the annex 2 of Rules №189
Note:
Type of Enactments:
concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Central headquarters
Punishment awarded:
5 302 500,00
The nature of a breach:
Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of criminal proceeds and the financing of terrorism in terms of documenting, storing and providing information on operations subject to financial monitoring, their clients, due diligence of clients (their representatives) and owners, suspension and refusal from conducting operations subject to financial monitoring, protection of documents received in the process its activities
Date of performance
Статья/пункты НПА, Статья КоАП:
part one of article 214 CODE OF THE REPUBLIC OF KAZAKHSTAN ON ADMINISTRATIVE OFFENSES
Note:
A court order in cases №196300803000249,196300803000254,196300803000259,196300803000268,196300803000275196300803000276,196300803000277,196300803000278,196300803000279,196300803000283,196300803000288,196300803000292,196300803000294,196300803000296,196300803000307,196300803000317,196300803000319,196300803000325,196300803000329.
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
East-Kazakhstan branch
Punishment awarded:
The nature of a breach:
Date of performance
Статья/пункты НПА, Статья КоАП:
p.1 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:
Date of performance
Статья/пункты НПА, Статья КоАП:
article 217 part 3
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:
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:
The nature of a breach:
Date of performance
Статья/пункты НПА, Статья КоАП:
article 217 part 3
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:
Date of performance
Статья/пункты НПА, Статья КоАП:
article 218 part 3
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 243 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:
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:
441875
The nature of a breach:
Failure of responsibilities for the implementation of internal control rules and programs of its realization by financial monitoring subject
Date of performance
Статья/пункты НПА, Статья КоАП:
p.2 art.214
Note:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
East-Kazakhstan branch
Punishment awarded:
441875
The nature of a breach:
inconsistency of the internal control rules with the requirements of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds from crime and the financing of terrorism
Date of performance
Статья/пункты НПА, Статья КоАП:
p.2 art.214
Note:
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 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 2 subparagraph 1 ) and paragraph 8 of the annex 2 of Rules №189
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:
Date of performance
Статья/пункты НПА, Статья КоАП:
article 217 part 3
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:
252 500
The nature of a breach:
Provision of details by an information provider on a subject of credit history to the credit bureaus (with the exception of a credit bureau with state participation) for formation of credit history and (or) filing request by a recipient of credit report on representing the credit report without the consent of the subject of information, with the exception of cases of providing negative information on the subject of creditor history and (or) credit report containing negative information of the subject of creditor history, as well as its incorrect execution, shall
Date of performance
27.07.2019
Статья/пункты НПА, Статья КоАП:
part 2 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:
Almaty Regional branch
Punishment awarded:
The nature of a breach:
violation of rules
Date of performance
04.07.2019
Статья/пункты НПА, Статья КоАП:
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:
inaccurate reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
Part 1 of Article 243
Note:
Type of Enactments:
Қазақстан Республикасында қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыру қағидалары №144
Name of Regional Branch of National Bank of Kazakhstan / Department:
Akmola branch
Punishment awarded:
2300
The nature of a breach:
For late execution to execute payment order and (or) money transactions, in violation of term established by the Law Republic of Kazakhstan «On payment and payment system».
Date of performance
05.08.2019
Статья/пункты НПА, Статья КоАП:
part 1 of Article 220 of the Code of the Republic of Kazakhstan on Administrative Offenses of the Republic of Kazakhstan
Note:
administrative penalty paid
Type of Enactments:
concerning the compliance with the law on payments and payment systems
Name of Regional Branch of National Bank of Kazakhstan / Department:
Atyrau 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:
Value of coefficient k2 is greater that 0,25
Date of performance
Статья/пункты НПА, Статья КоАП:
Note:
Type of Enactments:
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал НБРК_англ
Punishment awarded:
252 500
The nature of a breach:
Administrative offense, expressed in repeated (two or more times within twelve consecutive calendar months) provision to the authorized body of unreliable and incomplete reporting
Date of performance
Статья/пункты НПА, Статья КоАП:
part 2 of article 256 Code of the Republic of Kazakhstan "On Administrative Infractions"
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
20.07.2019
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:
The nature of a breach:
For violation of internal procedures/ rules
Date of performance
31.07.2019
Статья/пункты НПА, Статья КоАП:
Note:
Type of Enactments:
concerning observance of financial consumer's rights
Name of Regional Branch of National Bank of Kazakhstan / Department:
Kyzylorda branch

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Яндекс.Метрика
Contact Us: 21 "Koktem-3", Almaty, 050040,
Republic of Kazakhstan
Fax: 7 (727) 2704-703, + 7( 727) 2617-352, +7 (727) 2704-799
Telex: 251130 BNK KZ
Contact phone: +7 (727) 2704-591
E-mail: hq@nationalbank.kz
e-mail for corruption offenses: anticorruption@nationalbank.kz

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© The National Bank of Kazakhstan, 2018