Measures being imposed

1. п.38, 40, 46, 51, 53, 56 Правил №144
2. п.3 ст.11 Закона ПОД/ФТ

27.04.2018

1. -
2. - О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма

1. Organization of exchange operations with cash foreign currency

Центральный филиал (Нур-Султан)

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

1. Concerning regulation of financial sector

Центральный аппарат

1. Violation of paragraphs 51 of the Rules for the organization of exchange transactions 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 of July 16, 2014 No. 144

18.05.2018

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

Executed letter of "Kokshetau finans servis" LLP from 15.05.2018 year

1. Concerning observance of requirements of the foreign exchange legislation

Акмолинский филиал (Кокшетау)

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

1. Concerning regulation of financial sector

Центральный аппарат

1. Violated the requirements of paragraphs subparagraph 9) of paragraph 35, 51 of the Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 144 dated 16 July 2014.

28.05.2018

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

Executed letter of "Zere-M" LLP from 25.05.2018 year

1. Concerning observance of requirements of the foreign exchange legislation

Акмолинский филиал (Кокшетау)

134680

1. violation of the laws of the Republic of Kazakhstan licensing standards

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

Penalty paid on 05/17/2018.

1. Concerning observance of requirements of licensing

Акмолинский филиал (Кокшетау)

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

1. Concerning regulation of financial sector

Центральный аппарат

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

11.05.2018

1. Статья: 53 - Rules of organization of exchange operations with available foreign currency in Republic of Kazakhstan, ratified by the decision of Rule of National Bank of Republic of Kazakhstan from 16.07.2014г. № 144

1. Organization of exchange operations with cash foreign currency

Северо-Казахстанский филиал (Петропавловск)

120250

1. Administrative sanction was applied due to repeated non-compliance (two or more times within consecutive calendar months) by the professional participant of the securities market, with the requirements provided for by legislation

1. Статья: 262 - Of Administrative Violations Code of the Republic of Kazakhstan

1. Concerning regulation of financial sector

Центральный аппарат

1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102, paragraph 4

1. Concerning regulation of financial sector

Центральный аппарат