Insurance Company "Jýsan Garant" JSC (renamed from - Subsidiary "Tsesnabank" JSC Insurance Company "Tsesna Garant" JSC)
Issuer
02.08.2019
40-4-17/515
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: 102
- 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
"Ақниет-Шу" LLP
Authorized organization
13.02.2018
183100803000001
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
420 875 тенге
The nature of a breach:
1. article 11 point 2 of Law
Date of performance:
02.04.2018
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:
Paid voluntarily, payment receipt №960/212 from 27.03.2018 year
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
"Теңге-Exchange" LLP
Authorized organization
16.02.2018
52-10-36/730
Limited enforcement action
Written prescription
The nature of a breach:
1. Violations of subparagraph 7) of paragraph 36, part one of paragraph 40, part one of paragraph 43, paragraph 46 and part one of paragraph 51 of Regulation No. 144
Статья/пункты НПА, Статья КоАП:
1.
- Of 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 July 16, 2014 No. 144
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)
«NurAbdi» LLP
Authorized organization
28.02.2018
52-10-36/1057
Limited enforcement action
Written warning
The nature of a breach:
1. Violations of paragraph 46 and part one of paragraph 51 of Regulation No. 144.
Статья/пункты НПА, Статья КоАП:
1.
- Of 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 July 16, 2014 No. 144
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)
"ГЕРМЕС обмен валют" LLP
Authorized organization
02.03.2018
1
Limited enforcement action
Written prescription
The nature of a breach:
1. he paragraph 42 of the Rules of organization of exchange operations with foreign cash in the Republic of Kazakhstan, approved by Chairman of the Board of NBRK on July 16, 2014 No. 144
Date of performance:
15.03.2018
Статья/пункты НПА, Статья КоАП:
1.
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"
Note:
Executed, 12.03.2018 №7 letter (Ref. №978 from 12.03.2018)
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
"Ақниет-Шу" LLP
Authorized organization
03.03.2018
56-3-44/503 СК
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.03.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 35
Пункт: пп. 4), 6),7),8)
- Rules of organization of exchange operations with available foreign currency in Republic of Kazahstan, ratified by the decision of Rule of National bank of republic of Kazakhstan from 16.07.2014 №144/
2. Статья: 36, 51 - Rules of organization of exchange operations with available foreign currency in Republic of Kazahstan, ratified by the decision of Rule of National bank of republic of Kazakhstan from 16.07.2014 №144/
3. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
4. Статья: 11 Пункт: 2 - The Law of the RK «On Counteraction of Legitimization (Laundering) of Incomes Received by Illegal Means, and Financing of Terrorism»
2. Статья: 36, 51 - Rules of organization of exchange operations with available foreign currency in Republic of Kazahstan, ratified by the decision of Rule of National bank of republic of Kazakhstan from 16.07.2014 №144/
3. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
4. Статья: 11 Пункт: 2 - The Law of the RK «On Counteraction of Legitimization (Laundering) of Incomes Received by Illegal Means, and Financing of Terrorism»
Type of Enactments
1. Rules of org-n of exchange operations with available foreign currency in RK №144//The Law of the RK «On Accounting and Financial Reporting»//The Law of RK«ON Counteraction of Legitimization of Incomes Received by Illegal Means, and Financing of Terrorism»
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
"Астана Exchange" LLP
Authorized organization
20.03.2018
52-10-36/1545
Limited enforcement action
Written prescription
The nature of a breach:
1. Inconsistency of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds from crime and financing of terrorism
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Issuer
08.08.2019
40-4-17/568
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 2
- 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
Issuer
08.08.2019
40-4-17/566 от 08.08.2019
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 2
- 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
Issuer
08.08.2019
40-4-17/567
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 2
- 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
