Measures being imposed

«West money» LTD

Authorized organization

28.11.2019

192300803000042

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000034, №192300803000031, №192300803000042. Fine 462 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

АО "Группа компаний Аллюр"

Issuer

03.12.2019

Limited enforcement action

Written warning

The nature of a breach:

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

Статья/пункты НПА, Статья КоАП:

1. Статья: 102 Пункт: пп.2 п.2 - 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

«West money» LTD

Authorized organization

28.11.2019

192300803000041

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000033, №192300803000036, №192300803000037, №192300803000040, №192300803000041, №192300803000046. Fine 924 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

«West money» LTD

Authorized organization

28.11.2019

192300803000040

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000033, №192300803000036, №192300803000037, №192300803000040, №192300803000041, №192300803000046. Fine 924 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

ТОО "Специальная Финансовая Компания "DC"

Issuer

03.12.2019

№40-4-17/1666

Limited enforcement action

Written warning

The nature of a breach:

1. Untimely placement of information about changes in the composition of participants

Статья/пункты НПА, Статья КоАП:

1. Статья: 102 Пункт: 2 - 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

«West money» LTD

Authorized organization

28.11.2019

192300803000039

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000030, №192300803000032, №192300803000035, №192300803000038, №192300803000039, №192300803000044. Fine 924 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

«West money» LTD

Authorized organization

28.11.2019

192300803000038

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000030, №192300803000032, №192300803000035, №192300803000038, №192300803000039, №192300803000044. Fine 924 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

«West money» LTD

Authorized organization

28.11.2019

192300803000037

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000033, №192300803000036, №192300803000037, №192300803000040, №192300803000041, №192300803000046. Fine 924 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

«West money» LTD

Authorized organization

28.11.2019

192300803000036

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000033, №192300803000036, №192300803000037, №192300803000040, №192300803000041, №192300803000046. Fine 924 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

«West money» LTD

Authorized organization

28.11.2019

192300803000035

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000030, №192300803000032, №192300803000035, №192300803000038, №192300803000039, №192300803000044. Fine 924 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)