Measures being imposed

235690

1. Violation by the entities of financial monitoring of the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds from crime and financing of terrorism in terms of documenting, storing and providing information on transactions subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, suspension and refusal to conduct operations subject to financial monitoring, protection of documents received in the process its activities

11.05.2018

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

1.

Кызылординский филиал (Кызылорда)

269360

1. Failure of responsibilities for the implementation of internal control rules and programs of its realization according to the Law "On Counteraction of Legitimization (Laundering) of Incomes Received by Illegal Means, and Financing of Terrorism"

11.05.2018

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

1.

Кызылординский филиал (Кызылорда)

235690

1. Violation by the entities of financial monitoring of the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds from crime and financing of terrorism in terms of documenting, storing and providing information on transactions subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, suspension and refusal to conduct operations subject to financial monitoring, protection of documents received in the process its activities

11.05.2018

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

1.

Кызылординский филиал (Кызылорда)

1. based on the results of checking standard contracts for compliance with the requirements of the legislation of the Republic of Kazakhstan

06.04.2018

1. Статья: 28 - In accordance with the standard 28 of the Law of the Republic of Kazakhstan "On Microfinance Organizations" in accordance with the requirements of the legislation of the Republic of Kazakhstan and regulatory legal acts of the authorized body.

1.

Алматинский городской филиал (Алматы)

235690

1. Violation by the entities of financial monitoring of the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds from crime and financing of terrorism in terms of documenting, storing and providing information on transactions subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, suspension and refusal to conduct operations subject to financial monitoring, protection of documents received in the process its activities

17.05.2018

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

1.

Кызылординский филиал (Кызылорда)

5 411 250

1. Administrative sanction was applied due to untimely submission and non-submission of the bank on information received on the subject of credit history to the credit bureau

1. Статья: 208 Пункт: 3 - The Code of Administrative Offenses

Cases of administrative violations 50 protocols are combined into one proceeding for joint consideration. Taking into account Part 2 of Article 58 of the Code of Administrative Offenses, the total amount of the penalty is 5 411 250 tenge. The resolution of North Kazakhstan regional court No. 5999-18-00-3а-/158 of 11 May 2018. Paid in 08.06.2018 y.

1. On Credit Bureaus and Formation of Credit Histories in the Republic of Kazakhstan

Северо-Казахстанский филиал (Петропавловск)

648 148

1. exceeding by the microfinance organization of the limit size of the annual effective interest rate; inconsistency of internal control rules of MFО with the requirements of the Republic of Kazakhstan legislation On Counteraction of Legitimization (Laundering) of Incomes Received by Illegal Means, and Financing of Terrorism; implementation of entrepreneurial activity without appropriate registration, permission and notification

03.05.2018

1. Статья: 211 Пункт: 5 -
2. Статья: 214 Пункт: 2 -
3. Статья: 463 Пункт: 1 - The Code of Administrative Offenses

1. The Law "On Microfinance Organizations"

Карагандинский филиал (Караганда)

979 020 тенге

1. Violation by the entities of financial monitoring of the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds from crime and financing of terrorism in terms of documenting, storing and providing information on transactions subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, suspension and refusal to conduct operations subject to financial monitoring, protection of documents received in the process its activities

12.04.2018

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

1.

Алматинский городской филиал (Алматы)

1. based on the results of checking standard contracts for compliance with the requirements of the legislation of the Republic of Kazakhstan

25.04.2018

1. Статья: 28 - In accordance with the standard 28 of the Law of the Republic of Kazakhstan "On Microfinance Organizations" in accordance with the requirements of the legislation of the Republic of Kazakhstan and regulatory legal acts of the authorized body.

1.

Карагандинский филиал (Караганда)

1. By results of inspection

14.05.2018

1. Статья: 28 - In accordance with the standard 28 of the Law of the Republic of Kazakhstan "On Microfinance Organizations" in accordance with the requirements of the legislation of the Republic of Kazakhstan and regulatory legal acts of the authorized body.

1.

Карагандинский филиал (Караганда)