Measures being imposed

«West money» LTD

Authorized organization

28.11.2019

192300803000034

Sanctions and other administrative penalties

Fine imposed under administrative law

Punishment awarded:

1166550,00 тенге

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)

«West money» LTD

Authorized organization

28.11.2019

192300803000033

Sanctions and other administrative penalties

Fine imposed under administrative law

Punishment awarded:

2333100,00 тенге

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)

Subsidiary Bank“Sberbank of Russia”, JSC (renamed from"TEXAKABANK” JSC)

Issuer

03.12.2019

№40-4-17/1665

Limited enforcement action

Written warning

The nature of a breach:

1. Untimely placement of information on redemption of bonds

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

192300803000032

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

192300803000031

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 "Мангистауская распределительная электросетевая компания"

Issuer

06.12.2019

№40-4-17/1685

Limited enforcement action

Written warning

The nature of a breach:

1. Untimely placement of the bond issue prospectus within the bond program, taking into account amendments and (or) additions made to it

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

Issuer

09.12.2019

40-4-17/1699

Limited enforcement action

Written warning

The nature of a breach:

1. Violation of the order and timing of reporting

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

Sanctions and other administrative penalties

Fine imposed under administrative law

Punishment awarded:

2333100,00 тенге

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)

"Medina and A" LLP

Authorized organization

29.11.2019

191500803000008

Sanctions and other administrative penalties

Fine imposed under administrative law

Punishment awarded:

202000

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

Type of Enactments

1. Concerning observance of requirements of licensing

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

Актюбинский филиал (Актобе)

State center for support of national cinema

Issuer

09.12.2019

40-4-17/1696

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.5 - 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