LLP Aliya & Company
Authorized organization
03.12.2019
60-05-12/1390
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. violation of point 41 of Rules No. 49,
2. discrepancies on the filled data in the form of Appendix 11-1 to the Resolution No. 178
2. discrepancies on the filled data in the form of Appendix 11-1 to the Resolution No. 178
Статья/пункты НПА, Статья КоАП:
1.
Статья: 41
- Regulation No. 49
2. - Annex 11-1 to Regulation No. 178
2. - Annex 11-1 to Regulation No. 178
Type of Enactments
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
"Астана Exchange" LLP
Authorized organization
03.12.2019
№197500803000504
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
555 500 тенге
The nature of a breach:
1. Narwşenïe swbektamï of Financial Monitoring zakonodatelstva the Republic of Kazakhstan o protïvodeystvïï legalïzacïï (otmıvanïyu) doxodov, polwçennıx prestwpnım way, and fïnansïrovanïyu terrorism parts dokwmentalnogo fïksïrovanïya, storage and predostavlenïya computer, rev operations, podlejaşçïx fïnansovomw monïtorïngw Their klïentax, nadlejaşçey Check customers (Their predstavïteley) and beneficial Provisions, Provisions and Refunds from Operations Provisioning, Submission of Financial Monitoring, Securities Documentation, Completed Processes its own deity
Date of performance:
28.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Law of the Republic of Kazakhstan dated 28.08.2009 “On Counteracting Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism”, Rules for the organization of exchange operations with foreign currency in cash in the Republic of Kazakhsta
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
ТОО "cash exghange"
Authorized organization
04.12.2019
197100803000174
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202000
The nature of a breach:
1. квалификациялық талаптарға сай келмеу
Date of performance:
14.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 4
- Regulation No. 49
Type of Enactments
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Опал" LPP
Authorized organization
05.12.2019
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. paragraph 41 of Regulation No. 49, in terms of storing the personal effects of the cashier in the operating cash desk of the exchange office; - clause 49 of Rule 49, in terms of accounting for exchange operations conducted at the exchange office, in the electronic journal of registers of purchased and sold cash foreign currency.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 41, 49
- Regulation No. 49
Type of Enactments
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
"Mukan" LLP
Authorized organization
10.12.2019
197500803000518
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
555 500
The nature of a breach:
1. Legislation on the control of the laws and laws of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds of crime and the financing of terrorism in terms of documenting, storing and providing information about transactions subject to financial monitoring, to their client, due diligence of clients (their representatives) and beneficiary bodies. Owners, suspension and refusal to conduct operations subject to financial monitoring, protection of documents received in the course of their activities
Date of performance:
04.02.2020
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:
Алматинский городской филиал (Алматы)
"Астана Exchange" LLP
Authorized organization
11.12.2019
52-10-35/5269
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-compliance with the requirements of the Rules of 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 Kazakhstan dated April 4, 2019 No. 49;
3. Failure to comply with the requirements of the legislation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, when conducting transactions on the purchase, sale and exchange of foreign currency in exchange offices;
4. Not reliable representation in branch of data on structure of assets, liabilities and the capital, the income and expenses of the authorized organization.
3. Failure to comply with the requirements of the legislation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, when conducting transactions on the purchase, sale and exchange of foreign currency in exchange offices;
4. Not reliable representation in branch of data on structure of assets, liabilities and the capital, the income and expenses of the authorized organization.
Date of performance:
20.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 39
Пункт: 6,7
- Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
2. Статья: 51 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
3. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
4. - The inaccuracy of the presentation of the report “On the structure of assets, liabilities and capital, income and expenses of a legal entity, the exclusive activity of which is the organization of exchange operations with cash foreign currency”
2. Статья: 51 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
3. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
4. - The inaccuracy of the presentation of the report “On the structure of assets, liabilities and capital, income and expenses of a legal entity, the exclusive activity of which is the organization of exchange operations with cash foreign currency”
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Limited liability partnership "Exchange office" RV"
Authorized organization
11.12.2019
52-10-35/5265
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of the organization of exchange operations with cash foreign currency
Date of performance:
20.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 51
- Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
2. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
2. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Mukan" LLP
Authorized organization
13.12.2019
52-10-35/5285
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-compliance with the requirements of the Rules of 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 Kazakhstan dated April 4, 2019 No. 49;
4. Failure to comply with the requirements of the legislation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, when conducting transactions on the purchase, sale and exchange of foreign currency in exchange offices.
4. Failure to comply with the requirements of the legislation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, when conducting transactions on the purchase, sale and exchange of foreign currency in exchange offices.
Date of performance:
23.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 40
Пункт: 1,2,3
- Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
2. Статья: 42 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
3. Статья: 51 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
4. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
2. Статья: 42 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
3. Статья: 51 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
4. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
18.12.2019
57-06-30/1516
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to comply with paragraph 2 of Regulation No. 47//
2. unreliable report for the 3rd quarter of 2019 under Annex 11-1 to Regulation No. 178//
3. unreliable report for September 2019 under Annex No. 13 to Regulation No. 49
2. unreliable report for the 3rd quarter of 2019 under Annex 11-1 to Regulation No. 178//
3. unreliable report for September 2019 under Annex No. 13 to Regulation No. 49
Date of performance:
13.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 2
-
2. -
3. Статья: 63 -
2. -
3. Статья: 63 -
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
18.12.2019
57-06-30/1512
Limited enforcement action
Written prescription
The nature of a breach:
1. For violation of requirements in the field of automation of accounting
Date of performance:
13.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 6, 9
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
