"Microfinancial organization "ZoloTo" LLP
An organization engaged in microfinance activities
15.08.2017
65-40-11/2233
Limited enforcement action
Written prescription
The nature of a breach:
1. Not a notice of changes in the composition of the founders of the Microfinance Organization
Date of performance:
15.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 7
Пункт: пп.11 п.2
- The Law of the Republic of Kazakhstan "On Microfinance Organizations".
Type of Enactments
1. The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
«Microfinancial organization «BASTAU» LLP
An organization engaged in microfinance activities
18.08.2017
60-06-10/1544СК
Limited enforcement action
Written warning
The nature of a breach:
1. Providing micro loans, which amount exceeded the eight thousand fold of the monthly calculatio
Статья/пункты НПА, Статья КоАП:
1.
Статья: 3
Пункт: 1
- The Law of the Republic of Kazakhstan "On Microfinance Organizations".
Type of Enactments
1. The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
«Microfinance organization «Baiterek Finance» LLP
An organization engaged in microfinance activities
31.08.2017
53-02-13/11
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
240 000
The nature of a breach:
1. For violation of the Republic of Kazakhstan legislation concerning accounting and financial reporting
Date of performance:
29.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 239
Пункт: 3
- Administrative Violations Code of the Republic of Kazakhstan
Note:
Done
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
An organization engaged in microfinance activities
07.09.2017
64-12-06/3374
Limited enforcement action
Written prescription
The nature of a breach:
1. For requirements violations of laws on microfinance organizations (based on risk assessment audit results)
Date of performance:
22.09.2017
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
An organization engaged in microfinance activities
08.09.2017
64-12-06/3383
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the order and timing of reporting
Date of performance:
22.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 7
Пункт: пп. 9 п.2
- Of the Law of the Republic of Kazakhstan "On microfinance оrganizations"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
An organization engaged in microfinance activities
08.09.2017
64-12-06/3384
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the order and timing of reporting
Date of performance:
22.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 7
Пункт: пп. 9 п.2
- Of the Law of the Republic of Kazakhstan "On microfinance оrganizations"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Microfinancial organization" Asian Credit Fund" LLP
An organization engaged in microfinance activities
12.09.2017
52-14-13/5071
Limited enforcement action
Written prescription
The nature of a breach:
1. information about founders / participants is not provided
Date of performance:
25.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 7
Пункт: пп.11 п.2
- The Law of the Republic of Kazakhstan "On Microfinance Organizations".
Type of Enactments
1. The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Alexa" Microfinancial organization", LLP
An organization engaged in microfinance activities
13.09.2017
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1 134 500
The nature of a breach:
1. the supplier's failure to provide information to the credit bureau with information received from the subject of the credit history, the submission of which is required in accordance with the legislation of the Republic of Kazakhstan on credit bureaus and the formation of credit histories.
Date of performance:
23.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 208
Пункт: 3
- The Code of Administrative Offenses
Type of Enactments
1. On Credit Bureaus and Formation of Credit Histories in the Republic of Kazakhstan
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Microfinancial organization"Kausar Nesie" LLP
An organization engaged in microfinance activities
14.09.2017
№177500803000448
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
567 250
The nature of a breach:
1. ответственность за неисполнение субъектами финансового мониторинга обязанностей по разработке, принятию и (или) исполнению правил внутреннего контроля и программ его осуществления либо несоответствие правил внутреннего контроля требованиям законодательства Республики Казахстан о противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма.
Date of performance:
15.11.2017
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
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Express Finance Group" Microfinancial organization", LLP
An organization engaged in microfinance activities
15.09.2017
64-12-06/3476
Limited enforcement action
Written prescription
The nature of a breach:
1. For requirements violations of laws on microfinance organizations (based on risk assessment audit results)
Date of performance:
13.10.2017
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
