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Issuer
06.12.2018
33-10-02/7803
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
06.12.2018
33-10-02/7802
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
Date of performance:
28.12.2018
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
06.12.2018
33-10-02/7794
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
JSC"Казахский медицинский университет непрерывного образования"
Issuer
06.12.2018
33-10-02/7797
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
Date of performance:
18.12.2018
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"ПАВЛОДАРТУРИСТ" JSC
Issuer
11.12.2018
33-10-02/7906
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
Date of performance:
21.12.2018
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
12.12.2018
№33-10-02/7943
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
12.12.2018
№33-10-02/7944
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
THE LIMITED LIABILITY PARTNERSHIP "SPECIAL FINANCIAL COMPANY "FINANCE INVESTMENT GROUP"
Issuer
12.12.2018
33-11-18/7956
Limited enforcement action
Written prescription
The nature of a breach:
1. Paragraph 1 of article 102 of the Law on securities market (the non-deployment solutions the only participant)
Date of performance:
03.01.2019
Статья/пункты НПА, Статья КоАП:
1. Статья: 102 Пункт: 1 - Law of the Republic of Kazakhstan "On Securities Market"
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Krim" LTD
Authorized organization
10.05.2018
63-5-43/0/59/344
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. unreliable financial reporting concerning foreign currency exchange transactions in cash
Статья/пункты НПА, Статья КоАП:
1. Статья: 243 Пункт: 1 -
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Северо-Казахстанский филиал (Петропавловск)
LLP Aliya & Company
Authorized organization
31.05.2018
№60-05-12/1028
Limited enforcement action
Written prescription
The nature of a breach:
1. for violation of the requirements of the legislation on combating the legalization of proceeds from crime, and the financing of terrorism
Date of performance:
08.06.2018
Статья/пункты НПА, Статья КоАП:
1. Статья: 3, 11 - The Law on Combating the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
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