"Microfinancial organization "Doszhan- Invest" LLP
An organization engaged in microfinance activities
06.08.2018
58-12-12/3032
Limited enforcement action
Written warning
The nature of a breach:
1. late submission of the report on the decoding of the maximum size of risk on one borrower
Статья/пункты НПА, Статья КоАП:
1.
Статья: 1
Пункт: 2
- Of the resolution of the NBK's Board of July 31, 2017 No. 148 "On approval of prudential standards and other standards and limits that are mandatory for the microfinance organization to comply with, and the methodology for calculating them, as well as the forms and deadlines for reporting on their implementation"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
An organization engaged in microfinance activities
16.08.2018
60-06-10/1560СК
Limited enforcement action
Written prescription
The nature of a breach:
1. By results of inspection
Date of performance:
17.09.2018
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
Microfinancial organization "Elin - Kredit" LLP
An organization engaged in microfinance activities
17.08.2018
59-8-32/2271
Limited enforcement action
Written prescription
The nature of a breach:
1. The microfinance organization did not ensure timely correction of the error in the financial statements
Date of performance:
07.09.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 6
- Of the Resolution of the NBK No. 41 of January 28 2016
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
"MFO "Batys kapital" LLP
An organization engaged in microfinance activities
20.08.2018
№57-07-11/1768
Limited enforcement action
Written prescription
The nature of a breach:
1. based on the results of checking standard contracts for compliance with the requirements of the legislation of the Republic of Kazakhstan
Date of performance:
24.09.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 4
Пункт: 3
- The Law of the Republic of Kazakhstan "On Microfinance Organizations".
Note:
Implemented via letter №028 from 24.09.2018
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
"Microfinance organization "Atameken Taraz" LLP
An organization engaged in microfinance activities
22.08.2018
56-9-14/1756
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the order of items in contracts for the provision of microcredit
Date of performance:
25.09.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 6
Пункт: 1-1
- The Law of the Republic of Kazakhstan "On Microfinance Organizations".
2. Статья: 4 Пункт: 3 - The Law of the Republic of Kazakhstan "On Microfinance Organizations".
2. Статья: 4 Пункт: 3 - 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:
Жамбылский филиал (Тараз)
АО "Алатау Жарык Компаниясы"
Issuer
24.10.2013
130000803000230
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
86550
The nature of a breach:
1. Non-performance by subjects of securities market of an obligation to submit the information, reporting and information on the terms and conditionsdetermined by the legislation of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 191
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"First Heartland Securities", JSC
Issuer
02.04.2012
Limited enforcement action
Commitment letter
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Microfinance organization "Atameken Taraz" LLP
An organization engaged in microfinance activities
06.09.2018
183100803000053
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
240500
The nature of a breach:
1. inaccurate accounting by loan
Date of performance:
16.10.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 239
Пункт: 4
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Note:
completed by letter №117 from 25.09.2018 year.
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
"Microfinancial organization "Alliance Horde Finance" LLP
An organization engaged in microfinance activities
07.09.2018
65-40-12/3085
Limited enforcement action
Written prescription
The nature of a breach:
1. inconsistency of the Microcredit Agreement with the requirements of the legislation of the Republic of Kazakhstan
Date of performance:
05.10.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 4
Пункт: 5
- The Law of the Republic of Kazakhstan "On Microfinance Organizations".
2. Статья: 4 Пункт: пп.2-1 п.3 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
3. Статья: 6 Пункт: 1-1 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
4. Статья: 7 Пункт: пп.1,2 п.3 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
5. Статья: 9-1 Пункт: 6, 7 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
2. Статья: 4 Пункт: пп.2-1 п.3 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
3. Статья: 6 Пункт: 1-1 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
4. Статья: 7 Пункт: пп.1,2 п.3 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
5. Статья: 9-1 Пункт: 6, 7 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
«Microfinancial organization «Makhambet» LLP
An organization engaged in microfinance activities
07.09.2018
54-09-12/2025
Limited enforcement action
Written prescription
The nature of a breach:
1. Based on the results of the performed activity audit of MFO
Date of performance:
01.10.2018
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
