PRO-currencies LLP
Authorized organization
15.04.2019
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. Violation of the requirements of the legislation on countering the legalization (laundering) of criminal proceeds and the financing of terrorism in exchange operations with foreign currency in cash
Статья/пункты НПА, Статья КоАП:
1.
- Violation of the requirements of the legislation on countering the legalization (laundering) of criminal proceeds and the financing of terrorism in exchange operations with foreign currency in cash
Type of Enactments
1. 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:
Восточно-Казахстанский филиал (Усть-Каменогорск)
Authorized organization
03.05.2019
4359-19-00-3/1595
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
441 875 тенге
The nature of a breach:
1. non-compliance of Internal control rules with the requirements of the legislation of the Republic of Kazakhstan on combating legalization (laundering) of proceeds from crime and financing of terrorism
Date of performance:
14.06.2019
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
Note:
the penalty is paid 14.05.2009
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
"Best Gold" LLP
Authorized organization
06.05.2019
141 400
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity
Date of performance:
17.05.2019
Статья/пункты НПА, Статья КоАП:
1.
- Resolution Of the Board of the National Bank of the Republic of Kazakhstan dated August 24, 2012 No. 250 on approval of the Rules of organization of protection and arrangement of premises of banks and organizations engaged in certain types of banking operations
Note:
The fine has been paid, a letter from 17.05.2019 year
Type of Enactments
1. On requirenments for security and office space organization
Name of Regional Branch of National Bank of Kazakhstan / Department:
Акмолинский филиал (Кокшетау)
Authorized organization
20.05.2019
197100803000093
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Нарушение порядка предоставления отчетности по оформленным регистрационным свидетельствам или свидетельствам об уведомлении или по валютному мониторингу, по обменным операциям с наличной иностранной валютой, а также информации и документов, подтверждающих возникновение обстоятельств, которые влияют на сроки и условия репатриации национальной и иностранной валюты 1. Представление недостоверной отчетности по оформленным регистрационным свидетельствам или свидетельствам об уведомлении или по валютному мониторингу, по обменным операциям с наличной иностранной валютой - влечет предупреждение на физических и юридических лиц.
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 филиал (Нур-Султан)
ТОО "Изобилие-Астана"
Authorized organization
20.05.2019
197100803000090
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Нарушение порядка предоставления отчетности по оформленным регистрационным свидетельствам или свидетельствам об уведомлении или по валютному мониторингу, по обменным операциям с наличной иностранной валютой, а также информации и документов, подтверждающих возникновение обстоятельств, которые влияют на сроки и условия репатриации национальной и иностранной валюты 1. Представление недостоверной отчетности по оформленным регистрационным свидетельствам или свидетельствам об уведомлении или по валютному мониторингу, по обменным операциям с наличной иностранной валютой - влечет предупреждение на физических и юридических лиц.
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 филиал (Нур-Султан)
"Dinara-plus" LLP
Authorized organization
20.05.2019
194300803000011
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. provision of false information on the report of Annex 13 to Regulation No. 144
Date of performance:
20.05.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 243
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Қазақстан Республикасында қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыру қағидалары №144
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
"Опал" LPP
Authorized organization
23.05.2019
196300803000008
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
441 875,00 тенге
The nature of a breach:
1. Failure of responsibilities for the implementation of internal control rules and programs of its realization by financial monitoring subject
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:
Восточно-Казахстанский филиал (Усть-Каменогорск)
"Опал" LPP
Authorized organization
23.05.2019
196300803000007
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388 850,00 тенге
The nature of a breach:
1. 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
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:
Восточно-Казахстанский филиал (Усть-Каменогорск)
"Dinara-plus" LLP
Authorized organization
27.05.2019
194300803000012
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202000
The nature of a breach:
1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity
Date of performance:
06.07.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- Violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
ТОО "Изобилие-Астана"
Authorized organization
29.05.2019
197100803000091 197100803000092
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
101000
The nature of a breach:
1. inaccurate reporting
Date of performance:
28.06.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 243
Пункт: 2
- The Code of Administrative Offenses
Type of Enactments
1. Қазақстан Республикасында қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыру қағидалары №144
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
