Measures being imposed

1. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing of terrorism in terms of documenting, storing and providing information on transactions, subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, taking measures to freeze operations with money and (or) other property, refusal to establish business relations and conducting operations with money and (or) other property, suspension of operations subject to financial monitoring, protection of documents, obtained in the process of its activities

23.01.2020

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

1.

Павлодарский филиал (Павлодар)

388850

1. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing of terrorism in terms of documenting, storing and providing information on transactions, subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, taking measures to freeze operations with money and (or) other property, refusal to establish business relations and conducting operations with money and (or) other property, suspension of operations subject to financial monitoring, protection of documents, obtained in the process of its activities

23.01.2020

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

1.

Павлодарский филиал (Павлодар)

274950

1. For violation of the Republic of Kazakhstan legislation concerning accounting and financial reporting

1. Статья: 239 Пункт: 4 - The Code of the Republic of Kazakhstan "On Administrative Infractions"

1. On compliance with accounting and financial reporting standards

Филиал в области Жетісу (город Талдыкорган)

1. a reliable report was not provided for the 3rd quarter of 2019 under Appendix 11-1, approved by a resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 24, 2014 № 178

1. Статья: 8 Пункт: 35 - The Law of the Republic of Kazakhstan «On the National Bank of the Republic of Kazakhstan»
2. Статья: 45-2 - The Law of the Republic of Kazakhstan «On banks and banking activities in the Republic of Kazakhstan»

1. Rules of org-n of exchange operations with available foreign currency in RK №49 // the Resolution of Board of NB of RK № 178 dated 24.09.2014

Восточно-Казахстанский филиал (Усть-Каменогорск)

1. a reliable report was not provided for the 3rd quarter of 2019 under Appendix 11-1, approved by a resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 24, 2014 № 178

1. Статья: 8 Пункт: 35 - The Law of the Republic of Kazakhstan «On the National Bank of the Republic of Kazakhstan»
2. Статья: 45-2 - The Law of the Republic of Kazakhstan «On banks and banking activities in the Republic of Kazakhstan»

1. Rules of org-n of exchange operations with available foreign currency in RK №49 // the Resolution of Board of NB of RK № 178 dated 24.09.2014

Восточно-Казахстанский филиал (Усть-Каменогорск)

1. 1. Items 33, 34, 41, 49, 51 Rules for the organization of cash exchange exchange in the Republic of Kazakhstan, approved by the ruling of the Board of the National Bank of Kazakhstan of April 4, 2019 No. 49. 2. Paragraph 2 of Article 10, Paragraphs 2 and 3 of Article 11 of the Kazakhstan Act on The Prevention of The Legalization (Laundering) of Proceeds of Crime and The Financing of Terrorism. 3. Paragraphs 2, 3 Rules for financial monitoring entities to provide information and information on transactions subject to financial monitoring approved by the Government of Kazakhstan decree of November 23, 2012 No. 1484. 4. Requirements 518, in terms of identification, proper verification of an individual, and recording the necessary information about him in the client's dossier during the exchange of cash foreign currency equivalent to more than 500,000.00 Tenge. 5. The Rules of Internal Control to counter the legalization (laundering) of proceeds of crime and the financing of terrorism on financially monitoring transactions approved by the Director of the Partnership April 18, 2016 No P-3-1 (more - PVC), including sub paragraph 8) paragraph 8 PVC.

1. Статья: 8 Пункт: 35 - Law of the Republic of Kazakhstan “On the National Bank of the Republic of Kazakhstan”
2. Статья: 61 Пункт: 2 - Law of the Republic of Kazakhstan “On the National Bank of the Republic of Kazakhstan”
3. Статья: 45-1, 45-2 - The Law of the Republic of Kazakhstan “On Banks and Banking in the Republic of Kazakhstan”
4. Статья: 2 - Rules for the application of measures of supervisory regulation No. 272 ​​approved by a resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018
5. Статья: 3 Пункт: 1 - Rules for the application of supervisory regency measures No. 272, approved by the ruling of the Board of the National Bank of Kazakhstan of October 29, 2018

1. Закон Республики Казахстан от 28.08.2009г. «О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма», Правила организации обменных операций с наличной иностранной валютой в Республике Казахстан №144

Восточно-Казахстанский филиал (Усть-Каменогорск)

1. inaccurate reporting

1. Статья: 218 Пункт: 7 -

1. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49

Южно-Казахстанский филиал (Шымкент)

202 000,00

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

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

violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

1. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49

Карагандинский филиал (Караганда)

388 850

1. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing of terrorism in terms of documenting, storing and providing information on transactions, subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, taking measures to freeze operations with money and (or) other property, refusal to establish business relations and conducting operations with money and (or) other property, suspension of operations subject to financial monitoring, protection of documents, obtained in the process of its activities

05.02.2020

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

1.

Павлодарский филиал (Павлодар)

388 850

1. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing of terrorism in terms of documenting, storing and providing information on transactions, subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, taking measures to freeze operations with money and (or) other property, refusal to establish business relations and conducting operations with money and (or) other property, suspension of operations subject to financial monitoring, protection of documents, obtained in the process of its activities

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

1.

Павлодарский филиал (Павлодар)