"First Heartland Jýsan Bank", JSC (renamed from "Tsesnabank", JSC)
Second tier banks
20.01.2022
220000800000019
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. Submission by a currency control agent of an incomplete and (or) unreliable report on the notification of currency transactions carried out, provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 217
Пункт: 3
-
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
"First Heartland Jýsan Bank", JSC (renamed from "Tsesnabank", JSC)
Second tier banks
20.01.2022
220000800000018
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. submission of an incomplete and (or) unreliable report for the purposes of monitoring the sources of supply and demand in the domestic foreign exchange market of the Republic of Kazakhstan, provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 3
-
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
"Алтын Жайык" LLP
Authorized organization
21.01.2022
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
18.01.2022
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 462
Пункт: 1
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
17.01.2022
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
16.02.2022
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with the requirements on cash payments and collection of bank notes, coins and valuables
2. On requirenments for security and office space organization
3. Concerning observance of requirements of licensing
2. On requirenments for security and office space organization
3. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
14.01.2022
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
23.05.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Authorized organization
30.12.2021
25-04-29/4696
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of subparagraph 1) of paragraph 3 of Article 5 of the Law of the Republic of Kazakhstan dated August 28, 2009 "On countering the legalization (laundering) of proceeds from crime and the financing of terrorism"
Date of performance:
10.01.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: 5
Пункт: пп.1 п.3
- The Law of the Republic of Kazakhstan "On Counteracting the Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism"
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
30.12.2021
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
25.01.2022
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
29.12.2021
25-04-29/4597
Limited enforcement action
Written prescription
The nature of a breach:
1. violations of the requirements of paragraphs 33-1, 49, 51, 54 of the Rules for conducting 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, as well as violation of the requirements of subparagraph 1) of paragraph 3 of Article 5 of the Law of the Republic of Kazakhstan "On countering the legalization (laundering) of income, obtained by criminal means, and the financing of terrorism"
Date of performance:
06.01.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: 49
-
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
29.12.2021
25-04-29/4598
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of the requirements of paragraph 23 of the Rules for Conducting Exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by Resolution No. 49 of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019, as well as unreliable submission of reports provided for by Resolution No. 91 91 of the Board of the National Bank of the Republic of Kazakhstan dated July 20, 2020 "On Approval of the List, forms and Deadlines reporting on compliance with the requirements of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds from crime, and financing of terrorism by a legal entity operating exclusively through an exchange office on the basis of the license of the National Bank of the Republic of Kazakhstan for exchange operations with cash foreign currency, and the Rules for its presentation"
Date of performance:
06.01.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: 23
-
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)
