Measures being imposed

1. Non-deployment of decision on the of depositary of the financial reporting

1. Статья: 102 Пункт: 2 - Law of the Republic of Kazakhstan "On Securities Market"

1. Concerning regulation of financial sector

Центральный аппарат

5 302 500 тенге

1. Violation by the subjects of the financial monitoring of legislation of Republic of Kazakhstan about counteraction of legalization (to washing) of the acuestss got a criminal way, and to financing of terrorism in part of the documentary jigging, storage and grant of information about operations subject to the financial monitoring, their clients, proper verification of clients (their representatives) and beneficiary owners, stopping and abandonment from realization of operations subject to the financial monitoring, defence of the documents got in the process of the activity

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Court ruling in matters №№ 196300803000020,196300803000021,196300803000026,196300803000030,196300803000033,196300803000039,196300803000012,196300803000015,196300803000019,196300803000044,196300803000049,196300803000051,196300803000052,196300803000053,196300803000064,196300803000068,196300803000070,196300803000071,196300803000077,196300803000078,196300803000079,196300803000083,196300803000090,196300803000093,196300803000094,196300803000095,196300803000096,196300803000098,196300803000100,196300803000101,196300803000102,196300803000103,196300803000104,196300803000108,196300803000109,196300803000112,196300803000113,196300803000114,196300803000115,196300803000116,196300803000120,196300803000121,196300803000123,196300803000124,196300803000125,196300803000126,196300803000127,196300803000128,196300803000129,196300803000130,196300803000131,196300803000132,196300803000134,196300803000135,196300803000136,196300803000139,196300803000149,196300803000150,196300803000151,196300803000152,196300803000153,196300803000154,196300803000155,196300803000156,196300803000157,196300803000158,196300803000159,196300803000160,196300803000161,196300803000162,196300803000163,196300803000164,196300803000165,196300803000166,196300803000167,196300803000168,196300803000169,196300803000170.

1.

Восточно-Казахстанский филиал (Усть-Каменогорск)

5 302 500 тенге

1. Violation by the subjects of the financial monitoring of legislation of Republic of Kazakhstan about counteraction of legalization (to washing) of the acuestss got a criminal way, and to financing of terrorism in part of the documentary jigging, storage and grant of information about operations subject to the financial monitoring, their clients, proper verification of clients (their representatives) and beneficiary owners, stopping and abandonment from realization of operations subject to the financial monitoring, defence of the documents got in the process of the activity

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Court ruling in matters № 196300803000011,196300803000014,196300803000016,196300803000017,196300803000018,196300803000024,196300803000025,196300803000027,196300803000028,196300803000029,196300803000032,196300803000037,196300803000038,196300803000041,196300803000047,196300803000048,196300803000050,196300803000053,196300803000054,196300803000057,196300803000059,196300803000061,196300803000062,196300803000063,196300803000069,196300803000072,196300803000073,196300803000074,196300803000081,196300803000084,196300803000087,196300803000088,196300803000089,196300803000105,196300803000106,196300803000107,196300803000110,196300803000133,196300803000137,196300803000138,196300803000171,196300803000185,196300803000186,196300803000187,196300803000189,196300803000190,196300803000191,196300803000192,196300803000193,196300803000194,196300803000195,196300803000196,196300803000206,196300803000207,196300803000208,196300803000209,196300803000210,196300803000211,196300803000212,196300803000213,196300803000214,196300803000215,196300803000216,196300803000217,196300803000218,196300803000219,196300803000220,196300803000221,196300803000222,196300803000223,196300803000224,196300803000225,196300803000226,196300803000228,196300803000229,196300803000010

1.

Восточно-Казахстанский филиал (Усть-Каменогорск)

1. inaccurate reporting

1. Статья: 218 Пункт: 7 - The Code of Administrative Offenses

1. Қазақстан Республикасында қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыру қағидалары №144

Акмолинский филиал (Кокшетау)

252500

1. For violation of the legislation Repablic of Kazakhstan on accounting and financial reporting

24.08.2019

1. Статья: 239 Пункт: 4 -

1. The Law of the RK «On Accounting and Financial Reporting»

Северо-Казахстанский филиал (Петропавловск)

5 302 500 тенге

1. Violation by the subjects of the financial monitoring of legislation of Republic of Kazakhstan about counteraction of legalization (to washing) of the acuestss got a criminal way, and to financing of terrorism in part of the documentary jigging, storage and grant of information about operations subject to the financial monitoring, their clients, proper verification of clients (their representatives) and beneficiary owners, stopping and abandonment from realization of operations subject to the financial monitoring, defence of the documents got in the process of the activity

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
2. Статья: 214 Пункт: 2 - The Code of Administrative Offenses

Court ruling in matters №№ 196300803000013,196300803000022,196300803000023,196300803000031,196300803000034,196300803000035,196300803000036,196300803000040,196300803000042,196300803000043,196300803000046,196300803000055,196300803000056,196300803000058,196300803000060,196300803000065,196300803000066,196300803000067,196300803000075,196300803000076,196300803000080,196300803000082,196300803000085,196300803000086,196300803000091,196300803000092,196300803000097,196300803000099,196300803000111,196300803000117,196300803000118,196300803000119,196300803000122,196300803000140,196300803000141,196300803000142,196300803000143,196300803000144,196300803000145,196300803000146,196300803000147,196300803000148,196300803000172,196300803000173,196300803000174,196300803000175,196300803000176,196300803000177,196300803000178,196300803000179,196300803000180,196300803000181,196300803000182,196300803000183,196300803000184,196300803000198,196300803000199,196300803000200,196300803000201,196300803000202,196300803000203,196300803000204,196300803000205,196300803000227,196300803000230,196300803000231,196300803000232,196300803000233,196300803000234,196300803000235,196300803000236,196300803000237,196300803000238,196300803000239,196300803000240,196300803000241,196300803000242

1.

Восточно-Казахстанский филиал (Усть-Каменогорск)

1. Video surveillance does not comply

24.10.2019

1. Статья: 11 Пункт: 2 - Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019

1. Concerning observance of requirements of the foreign exchange legislation

Алматинский городской филиал (Алматы)

202000

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

16.11.2019

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

1. Concerning observance of requirements of the foreign exchange legislation

Алматинский городской филиал (Алматы)

202000

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

26.12.2019

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: 464 Пункт: 1 - The Code of Administrative Offenses

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

Алматинский городской филиал (Алматы)

202000

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

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

1. On requirenments for security and office space organization

Акмолинский филиал (Кокшетау)