Measures being imposed

336700 тенге

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

1. Статья: 214 Пункт: 1 - Of Administrative Violations Code of the Republic of Kazakhstan

The resolution of specialized administrative court of Petropavlovsk city No. 5915-18-00-3/750 of 06 March 2018. Paid in 03.04.2018 y.

1. Concerning regulation of financial sector

Северо-Казахстанский филиал (Петропавловск)

5 411 250

1. Administrative violation was expressed in the failure to provide information to the credit bureau in time

1. Статья: 208 Пункт: 3 - Of the Code of the Republic of Kazakhstan "on administrative offences"

Cases of administrative violations 37 protocols are combined into one proceeding for joint consideration. Taking into account Part 2 of Article 58 of the Code of Administrative Offenses, the total amount of the penalty is 5 411 250 tenge.

1. On submission financial and other reporting

Западно-Казахстанский филиал (Уральск)

1. based on the results of checking standard contracts for compliance with the requirements of the legislation of the Republic of Kazakhstan

07.03.2018

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.

1.

Алматинский городской филиал (Алматы)

1. 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

1. On submission financial and other reporting

Актюбинский филиал (Актобе)

7 215 000 тенге

1. 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

01.03.2018

1. Статья: 208 Пункт: 3 - The Code of Administrative Offenses

penalty paid payment order №1332 from 01.03.2018 G.

1. On Credit Bureaus and Formation of Credit Histories in the Republic of Kazakhstan

Карагандинский филиал (Караганда)

1. By results of inspection

29.03.2018

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.

1.

Алматинский городской филиал (Алматы)

636 300

1. 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

1. Статья: 262 - Of Administrative Violations Code of the Republic of Kazakhstan

1. Concerning regulation of financial sector

Центральный аппарат

1. failure to comply with the requirements of the laws of the Republic of Kazakhstan and normative legal acts of the authorized body

14.03.2018

1. Статья: 28 - The Law of the Republic of Kazakhstan «On microfinance organizations»

1.

Карагандинский филиал (Караганда)

1. Regarding the remedial actions that is required to be taken in order to eliminate violations detected during the inspection together with the causes and conditions facilitating its commitment with provision of the relevant plan of actions

27.02.2017

1. Concerning regulation of financial sector

Центральный аппарат

1. For violation of the requirements of the Law of the Republic of Kazakhstan "On Microfinance Organizations"; for violation of the Law on Accounting and Financial Reporting; for violation of the rules for the provision of microcredits; unreliable reporting.

20.03.2018

1. Статья: 4 Пункт: пп.6,8 п.3 - The Law of the Republic of Kazakhstan "On Microfinance Organizations".
2. Статья: 4 Пункт: 5 - The Law of the Republic of Kazakhstan "On Microfinance Organizations".
3. Статья: 20 Пункт: пп.8 п.3 - The Law of the Republic of Kazakhstan "On Microfinance Organizations".
4. Статья: 5 Пункт: 3 - The Law of the Republic of Kazakhstan "On Microfinance Organizations".
5. Статья: 7 Пункт: пп.4 п.2 - The Law of the Republic of Kazakhstan "On Microfinance Organizations".
6. Статья: 6 Пункт: 2 - The Law on Accounting and Financial Reporting
7. Статья: 9, 13 - The Resolution of the NBK No.381
8. Статья: 11 - The Resolution of the NBK No.382
9. Статья: 7 Пункт: 59 - The NBK Instruction No. 68
10. Статья: 10 - The Rules for Granting Microcredits

1. The Law "On Microfinance Organizations"

Атырауский филиал (Атырау)