"Halyk Bank of Kazakhstan", JSC
Second tier banks
27.12.2022
220000800001366
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 217
Пункт: 5
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Постоянное представительство Национального Банка Республики Казахстан в городе Алматы
«TREND exchange» JSC
Authorized organization
10.01.2023
25-04-16/31
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the requirement of subparagraph 2) of paragraph 11 of the Rules for carrying out exchange operations with cash foreign currency in the Republic of Kazakhstan dated April 4, 2019 No. 49
Date of performance:
16.01.2023
Статья/пункты НПА, Статья КоАП:
1.
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Subsidiary JSC Bank VTB (Kazakhstan)
Second tier banks
21.12.2022
220000800001365
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. Making by an authorized bank a payment and (or) transfer of money on a foreign exchange transaction without submitting a foreign exchange agreement or a foreign exchange agreement with an assigned accounting number, when the submission of such a foreign exchange agreement is mandatory in accordance with the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 210
Пункт: 1
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Authorized organization
30.12.2022
Sanctions and other administrative penalties
License withdrawal
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 33-1
-
2. Статья: 11 Пункт: 2 -
3. Статья: 27 -
4. Статья: 15-3 Пункт: 5 -
5. Статья: 34 -
2. Статья: 11 Пункт: 2 -
3. Статья: 27 -
4. Статья: 15-3 Пункт: 5 -
5. Статья: 34 -
Type of Enactments
1.
4.
5.
4.
5.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
Authorized organization
30.12.2022
25-04-16/4646
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the requirement of subparagraph 2) of paragraph 11 of the Rules for carrying out 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, has been established
Date of performance:
10.01.2023
Статья/пункты НПА, Статья КоАП:
1.
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
19.12.2022
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
14.02.2023
Статья/пункты НПА, Статья КоАП:
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 -
2. Статья: 464 Пункт: 1 -
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
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
"STATUS LOGISTICHESKIY" LLP
Authorized organization
29.12.2022
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
16.01.2023
Статья/пункты НПА, Статья КоАП:
1.
Статья: 33-1
-
2. Статья: Пункт 51 Пункт: 2 -
3. Статья: Пункт 12 -
4. - Submission of unreliable, as well as incomplete report, according to the Annex 11-1 form to the NBK Board decree on September 24, 2014 No. 178 "On approval of the list, forms, deadlines for reporting by organizations performing the certain types of banking operations and the Rules for their submission"
2. Статья: Пункт 51 Пункт: 2 -
3. Статья: Пункт 12 -
4. - Submission of unreliable, as well as incomplete report, according to the Annex 11-1 form to the NBK Board decree on September 24, 2014 No. 178 "On approval of the list, forms, deadlines for reporting by organizations performing the certain types of banking operations and the Rules for their submission"
Type of Enactments
1.
3.
4.
3.
4.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
Authorized organization
26.12.2022
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 33-1
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Шымкентский филиал (Шымкент)
"Таур Exchange" LLP
Authorized organization
28.12.2022
227500800001025
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
245 040
The nature of a breach:
1. violation of the requirement of subparagraph 2) of paragraph 11 of Regulation № 49
Date of performance:
29.01.2023
Статья/пункты НПА, Статья КоАП:
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.
Note:
By the resolution of the Almaty city branch of the National Bank of the Republic of Kazakhstan dated December 30, 2022, Taur Exchange LLP was brought to administrative responsibility under part 1 of Article 464 of the Code of the Republic of Kazakhstan on Administrative Offenses
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:
Алматинский городской филиал (Алматы)
Subsidiary JSC Bank VTB (Kazakhstan)
Second tier banks
09.12.2022
220000800001364
Sanctions and other administrative penalties
Warning
Punishment awarded:
Предупреждение
The nature of a breach:
1. Violation of the procedure for the purchase and (or) sale of non-cash foreign currency in the domestic foreign exchange market of the Republic of Kazakhstan, established by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 252
Пункт: 1-1
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Постоянное представительство Национального Банка Республики Казахстан в городе Алматы
