"ЮНГА" LLP
Authorized organization
05.12.2019
197500803000508
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
555500
The nature of a breach:
1. financial monitoring entities should take measures to properly check their customers (their representatives) and beneficial owners in accordance with the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of criminally obtained incomes and the financing of terrorism.
Date of performance:
14.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Note:
Resolution SIAC of Almaty from 12.19.2019. fine
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
АО "EXPLORATION PRODUCTION АЛМЭКС"
Issuer
09.12.2019
40-4-17/1697
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
"ЮНГА" LLP
Authorized organization
05.12.2019
№197500803000507
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
378750
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
Date of performance:
14.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 2
-
Note:
Resolution SIAC of Almaty from 12.19.2019. imposition of a fine
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Petrovskoye JSC
Issuer
10.12.2019
40-4-17/1702
Limited enforcement action
Written prescription
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
Date of performance:
25.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 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
LLP "Сирюс"
Authorized organization
05.12.2019
56-3-15/1353СК
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. Violation of currency legislation and legislation of the Republic of Kazakhstan about accounting
Статья/пункты НПА, Статья КоАП:
1.
Статья: 33, 34, 49
- Rules of organization of exchange operations with available foreign currency, ratified by the decision of Rule of National bank of republic of Kazakhstan from 04.04.2019 №49
2. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
3. - The Resolution of Board of NB of RK № 178 dated 24.09.2014
2. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
3. - The Resolution of Board of NB of RK № 178 dated 24.09.2014
Type of Enactments
1. Rules of org-n of exchange operations with available foreign currency in Republic of Kazakhstan №49 // The Law of the RK «On Accounting and Financial Reporting» // resolution Of the Board of the National Bank of Kazakhstan № 178 dated 24.09.2014
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
«DANA» LLP
Authorized organization
05.12.2019
3580-19-00-3/13958
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388 850,00
The nature of a breach:
1. Regarding the presentation of information on transactions subject to financial monitoring
Date of performance:
23.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
«DANA» LLP
Authorized organization
05.12.2019
3580-19-00-3/13959
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388 850,00
The nature of a breach:
1. Regarding the presentation of information on transactions subject to financial monitoring
Date of performance:
05.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
«DANA» LLP
Authorized organization
05.12.2019
3580-19-00-3/13957
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388 850,00
The nature of a breach:
1. Regarding the presentation of information on transactions subject to financial monitoring
Date of performance:
23.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
«DANA» LLP
Authorized organization
05.12.2019
3580-19-00-3/13951
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388 850,00
The nature of a breach:
1. Regarding the presentation of information on transactions subject to financial monitoring
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
JSC "КАЗАХСКИЙ АГРОТЕХНИЧЕСКИЙ УНИВЕРСИТЕТ ИМ. С.СЕЙФУЛЛИНА"
Issuer
10.12.2019
№40-4-17/1703
Limited enforcement action
Written warning
The nature of a breach:
1. Untimely posting of information on decisions adopted by the sole shareholder of the Company
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
