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)
"Microfinancial organization "∑parta Capital" LLP
An organization engaged in microfinance activities
12.09.2018
65-40-12/3130
Limited enforcement action
Written prescription
The nature of a breach:
1. non-reliable reporting
Date of performance:
10.10.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 22
- 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)
JSC "Группа компаний "RESMI"
Issuer
22.08.2013
130000803000182
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
519300
The nature of a breach:
1. Official committed an administrative offense, expressed in a violation by the Issuer of the terms and procedure of placement of the issued securities, established by the legislation of the Republic of Kazakhstan (Batyrgozhyn N. K.)
Статья/пункты НПА, Статья КоАП:
1.
Статья: 196-1
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
