Dzhim-Dzhem LLP
Authorized organization
15.03.2023
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
20.03.2023
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Северо-Казахстанский филиал (Петропавловск)
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Investment portfolio managers combining activity with broker and (or) dealer
03.03.2023
230000800000106
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
1. For late submission of financial and other statements
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
LLP "Ulpya"
Authorized organization
10.03.2023
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
- The Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49.
2. Статья: 33-1 -
3. Статья: 11 Пункт: 4 - Regulation No. 49
4. Статья: 42 - Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
5. Статья: 23 -
6. Статья: Пункт 12 -
7. Статья: Пункт 63 -
8. -
2. Статья: 33-1 -
3. Статья: 11 Пункт: 4 - Regulation No. 49
4. Статья: 42 - Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
5. Статья: 23 -
6. Статья: Пункт 12 -
7. Статья: Пункт 63 -
8. -
Type of Enactments
1. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49
4. Concerning observance of requirements of the foreign exchange legislation
5. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49
6.
7. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49
8.
4. Concerning observance of requirements of the foreign exchange legislation
5. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49
6.
7. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49
8.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Шымкентский филиал (Шымкент)
An organization engaged in microfinance activities
23.02.2023
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 2
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
An organization engaged in microfinance activities
20.02.2023
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
An organization engaged in microfinance activities
20.02.2023
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
An organization engaged in microfinance activities
20.02.2023
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
An organization engaged in microfinance activities
20.02.2023
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
An organization engaged in microfinance activities
20.02.2023
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
An organization engaged in microfinance activities
20.02.2023
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)