"National Company "Kazakhstan Engineering" JSC
Issuer
09.07.2019
40-4-17/293
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of term of presentation to the central depositary of order about translation of the purchased securities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 22
Пункт: 6
- Law of the Republic of Kazakhstan "On Securities Market"
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
«Abat Exchange» LLP
Authorized organization
10.10.2017
б/н
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
181520
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:
27.10.2017
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
Note:
voluntarily paid
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)
JSC «Финансово-инвестиционная корпорация «Алел»
Issuer
15.07.2019
40-4-17/350
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 22
Пункт: 6
- Law of the Republic of Kazakhstan "On Securities Market"
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
АКЦИОНЕРНОЕ ОБЩЕСТВО "АКЦИОНЕРНЫЙ ИНВЕСТИЦИОННЫЙ ФОНД РИСКОВОГО ИНВЕСТИРОВАНИЯ "ТАБЫС"
Issuer
19.07.2019
40-4-17/400
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.1 п.5
- Law of the Republic of Kazakhstan "On Securities Market"
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Tien-Shan Exchange" LLP
Authorized organization
13.10.2017
52-10-29/3/75/3079
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
181520
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:
27.11.2017
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:
Алматинский городской филиал (Алматы)
"Dinara-plus" LLP
Authorized organization
13.10.2017
60-05-12/1938СК
Limited enforcement action
Written prescription
The nature of a breach:
1. Not fulfilling the requirements of internal control.
Date of performance:
30.10.2017
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
"НАО "Haileybury Almaty" JSC
Issuer
19.07.2019
40-4-17/399
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.1 п.5
- Law of the Republic of Kazakhstan "On Securities Market"
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"ZIAT-XXI" LLP
Authorized organization
16.10.2017
3580-17-00-3/11538
Sanctions and other administrative penalties
License withdrawal
The nature of a breach:
1. non-compliance with the qualification requirements for licensed activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 2
- The Code of Administrative Offenses
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
"ZIAT-XXI" LLP
Authorized organization
16.10.2017
173500803/000099
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
340350
The nature of a breach:
1. non-compliance with the qualification requirements for licensed activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 2
- The Code of Administrative Offenses
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
"ZIAT-XXI" LLP
Authorized organization
16.10.2017
173500803/000099
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
340350
The nature of a breach:
1. non-compliance with the qualification requirements for licensed activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 2
- The Code of Administrative Offenses
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
