"Central Securities Depository", JSC
Organizations engaged in certain types of banking оperations
02.04.2012
Limited enforcement action
Commitment letter
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Central Securities Depository", JSC
Organizations engaged in certain types of banking оperations
12.09.2012
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazakhstan Stock Exchange”, JSC
Organizations engaged in certain types of banking оperations
20.04.2012
29305/957
Limited enforcement action
Commitment letter
The nature of a breach:
1. Violation of Instruction of National Bank of Kazakhstan №95 from 28.11.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning compliance with the law on payments and money transfers
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazakhstan Stock Exchange”, JSC
Organizations engaged in certain types of banking оperations
06.01.2014
30230/13
Limited enforcement action
Commitment letter
The nature of a breach:
1. For untimely granting statements by organization as of 01.12.2013
Date of performance:
16.01.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazakhstan Stock Exchange”, JSC
Organizations engaged in certain types of banking оperations
10.04.2014
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200,00
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazakhstan Stock Exchange”, JSC
Organizations engaged in certain types of banking оperations
30.04.2014
30218/296
Limited enforcement action
Written prescription
The nature of a breach:
1. For untimely granting statements by organization as of 01.04.2015
Date of performance:
16.05.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Kazpost", JSC
Organizations engaged in certain types of banking оperations
29.04.2016
58-12-11/1417
Limited enforcement action
Written warning
The nature of a breach:
1. For violation of paragraph 3 of Article 62-3 of the Law of the Republic of Kazakhstan «On the National Bank of the Republic of Kazakhstan»
Date of performance:
17.05.2016
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of financial consumer's rights
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
"Kazpost", JSC
Organizations engaged in certain types of banking оperations
25.05.2016
53-02-10/434/954
Limited enforcement action
Written prescription
The nature of a breach:
1. For violation order of №179 Instruction
Date of performance:
24.06.2016
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of financial consumer's rights
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
"Kazpost", JSC
Organizations engaged in certain types of banking оperations
13.10.2016
№6112081974
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of subclause 3 clause 62-3 of the Law RoK "About National Bank of the Republic of Kazakhstan"
Date of performance:
14.10.2016
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of financial consumer's rights
Name of Regional Branch of National Bank of Kazakhstan / Department:
Мангистауский филиал (Актау)
"Kazpost", JSC
Organizations engaged in certain types of banking оperations
12.12.2016
160000803003945
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 243
Пункт: 1
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
