"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)
"AXCH-Makinsk" LLP
Authorized organization
05.06.2018
181100803000050
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
192 400
The nature of a breach:
1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Note:
Penalty paid - 17.05.2018.
Type of Enactments
1. On requirenments for security and office space organization
Name of Regional Branch of National Bank of Kazakhstan / Department:
Акмолинский филиал (Кокшетау)
Authorized organization
06.06.2018
181500803000012
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:
Актюбинский филиал (Актобе)
"AXCH-Makinsk" LLP
Authorized organization
07.06.2018
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of paragraph 40 of the Rules 144
Статья/пункты НПА, Статья КоАП:
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
Note:
Executed, letter of "AXCH-Makinsk" LLP №15 from 21.06.2018 year
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Акмолинский филиал (Кокшетау)
LLP Aliya & Company
Authorized organization
07.06.2018
4356-18-00-3/86
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
601 250 тенге
The nature of a breach:
1. Inconsistency of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds from crime and financing of terrorism
Date of performance:
20.07.2018
Статья/пункты НПА, Статья КоАП:
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
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
