Measures being imposed

1. Violated the requirements of subparagraphs 2) and 3) to paragraph 31 of the Rules of the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan

10.02.2017

1. Concerning observance of requirements of the foreign exchange legislation

Карагандинский филиал (Караганда)

45380

1. repeated within a year after imposing of administrative fine submission of the doubtful reporting on exchange transactions with cash foreign currency

1. Статья: 243 Пункт: 2 -

1. Concerning observance of requirements of the foreign exchange legislation

Карагандинский филиал (Караганда)

466 620 тенге

1. Violation by subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism regarding documentary fixation, storage and provision of information on the transactions which are subject to financial monitoring, their clients, proper check of clients (their representatives) and beneficial owners, suspension and refusal of carrying out the transactions which are subject to financial monitoring, protection of the documents received in the course of the activities

29.01.2017

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

The penalty of 466 620 tenges is paid 22.12.2016 of software No. 108

1.

Восточно-Казахстанский филиал (Усть-Каменогорск)

1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities

16.05.2019

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

1. Concerning regulation of financial sector

Центральный аппарат

1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities

16.05.2019

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

1. Concerning regulation of financial sector

Центральный аппарат

126250

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. Untimely placement of information on the decision of the OSA

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

1. Concerning regulation of financial sector

Центральный аппарат

530250

1. несоответствие правил внутреннего контроля требованиям законодательства Республики Казахстан о противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма

30.01.2017

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

1.

Центральный филиал (Нур-Султан)

45380-00

1. repeated within a year after imposing of administrative fine submission of the doubtful reporting on exchange transactions with cash foreign currency

01.02.2017

1. Статья: 243 Пункт: 2 -

for submitting doubtful reporting of December 2016

1. Concerning observance of requirements of the foreign exchange legislation

Карагандинский филиал (Караганда)

42420

1. repeated within a year after imposing of administrative fine submission of the doubtful reporting on exchange transactions with cash foreign currency

1. Статья: 243 Пункт: 2 -

for submitting doubtful reporting of August 2016

1. Concerning observance of requirements of the foreign exchange legislation

Карагандинский филиал (Караганда)