Measures being imposed

1. Violations of paragraphs 31,40,51 of Regulation No. 144

22.11.2017

1. -

Ermuhan LLP №10 17 november 2017 (inc. №3537 17 november 2017) letter executed

1. Organization of exchange operations with cash foreign currency

Акмолинский филиал (Кокшетау)

1. concerning observance of requirements of the foreign exchange legislation

27.11.2017

1. Статья: 37 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
2. Статья: 53 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"

1. Concerning observance of requirements of the foreign exchange legislation

Западно-Казахстанский филиал (Уральск)

397075

1. Inconsistency of the Rules of the internal control requirements of the Republic of Kazakhstan legislation on counteraction to legalization (laundering) of proceeds from crime and financing of terrorism

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

administrative fine paid, payment order №66 of 11.29.2017

1.

Акмолинский филиал (Кокшетау)

1. violation of the organization of exchange operations with cash foreign currency

22.12.2017

1. - Of the organization of 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 July 16, 2014 No. 144

1. Concerning observance of requirements of the foreign exchange legislation

Кызылординский филиал (Кызылорда)

226900

1. For violation of the Republic of Kazakhstan legislation concerning accounting and financial reporting

1. Статья: 239 Пункт: 4 - The Code of the Republic of Kazakhstan "On Administrative Infractions"

For violation of the Republic of Kazakhstan legislation concerning accounting and financial reporting

1. On compliance with accounting and financial reporting standards

Кызылординский филиал (Кызылорда)

181520

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

1. Статья: 464 Пункт: 1 - The Code of Administrative Offenses

1. On requirenments for security and office space organization

Центральный филиал (Нур-Султан)

1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102, paragraph 1-1

1. Concerning regulation of financial sector

Центральный аппарат

1. violation of organization of exchange operations with available foreign currency

20.01.2018

1. Статья: 31,37 - Rules of organization of exchange operations with available foreign currency in Republic of Kazahstan, ratified by the decision of Rule of National bank of republic of Kazakhstan from 16.07.2014 №144

1. Organization of exchange operations with cash foreign currency

Мангистауский филиал (Актау)

1. Kazakhstan "On Joint Stock Companies", paragraph 79, subparagraph 2-2

1. Статья: 79 Пункт: 2-2 - Of the Law «On joint stock companies»

1. Concerning regulation of financial sector

Центральный аппарат

1. Violation of the terms of the requested documents to the Law RoK "On National Bank of the Republic of Kazakhstan"

29.01.2018

1. Статья: 62-3 Пункт: 3 - The Law RoK "About National Bank of the Republic of Kazakhstan" №2155 the 30 of March, 1995 year

1. "About National Bank of the Republic of Kazakhstan" Law

Кызылординский филиал (Кызылорда)