"Alexa" Microfinancial organization", LLP
An organization engaged in microfinance activities
13.09.2017
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1 134 500
The nature of a breach:
1. the supplier's failure to provide information to the credit bureau with information received from the subject of the credit history, the submission of which is required in accordance with the legislation of the Republic of Kazakhstan on credit bureaus and the formation of credit histories.
Date of performance:
23.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 208
Пункт: 3
- The Code of Administrative Offenses
Type of Enactments
1. On Credit Bureaus and Formation of Credit Histories in the Republic of Kazakhstan
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Microfinancial organization"Kausar Nesie" LLP
An organization engaged in microfinance activities
14.09.2017
№177500803000448
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
567 250
The nature of a breach:
1. ответственность за неисполнение субъектами финансового мониторинга обязанностей по разработке, принятию и (или) исполнению правил внутреннего контроля и программ его осуществления либо несоответствие правил внутреннего контроля требованиям законодательства Республики Казахстан о противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма.
Date of performance:
15.11.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 2
- "Non-fulfillment of obligations by the subjects of financial monitoring on development, adoption and (or) execution of internal control rules and programs for its implementation, or non-compliance of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing terrorism shall
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Express Finance Group" Microfinancial organization", LLP
An organization engaged in microfinance activities
15.09.2017
64-12-06/3476
Limited enforcement action
Written prescription
The nature of a breach:
1. For requirements violations of laws on microfinance organizations (based on risk assessment audit results)
Date of performance:
13.10.2017
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Alexa" Microfinancial organization", LLP
An organization engaged in microfinance activities
15.09.2017
64-12-07/1065
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
1. Violation by the entities of financial monitoring of the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds from crime and financing of terrorism in terms of documenting, storing and providing information on transactions subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, suspension and refusal to conduct operations subject to financial monitoring, protection of documents received in the process its activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
«Microfinancial organization «Turan Credit» LLP
An organization engaged in microfinance activities
19.09.2017
52-14-21/5188
Limited enforcement action
Written prescription
The nature of a breach:
1. based on the results of checking standard contracts for compliance with the requirements of the legislation of the Republic of Kazakhstan
Date of performance:
19.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 28
- 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.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
«Microfinance organization «Baiterek Finance» LLP
An organization engaged in microfinance activities
22.09.2017
53-02-12/1168/2080
Limited enforcement action
Written prescription
The nature of a breach:
1. By results of inspection
Date of performance:
20.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 28
- 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:
Complied with the letter of 20.10.2017 № 88
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
Microfinancial organization "Everest Kredit" LLP
An organization engaged in microfinance activities
26.09.2017
173500803000037-173500803000096
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
5 105 250 тенге
The nature of a breach:
1. A lack of information in microcredit treaty about the annual effective interest rate, calculated as prescribed by a Law of the Republic of Kazakhstan
Date of performance:
24.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 211
Пункт: 5
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
An organization engaged in microfinance activities
29.09.2017
55-13-20-2/1038
Limited enforcement action
Written prescription
The nature of a breach:
1. the purpose of individual microcredit is not specified in the contracts, the purpose of microcredit is not reflected in the application for a loan, the absence of a contract of collateral in the credit dossier.
Date of performance:
16.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 4
Пункт: 4
-
2. Статья: 20 Пункт: пп.1, 8 п.3 -
2. Статья: 20 Пункт: пп.1, 8 п.3 -
Type of Enactments
1. The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
"Microfinancial organization "GoldFinMarket"
An organization engaged in microfinance activities
03.10.2017
65-40-12/2662
Limited enforcement action
Written prescription
The nature of a breach:
1. based on the results of checking standard contracts for compliance with the requirements of the legislation of the Republic of Kazakhstan
Date of performance:
30.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 28
- 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.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
«Microfinance organization «Zharkent-Finance» limited partnership
An organization engaged in microfinance activities
04.10.2017
53-02-12/1208/2201
Limited enforcement action
Written prescription
The nature of a breach:
1. By results of inspection
Date of performance:
31.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 28
- 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:
Complied with the letter of 30.10.2017 № 322
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
