«Nachalo» LLP
Authorized organization
20.01.2020
31-06-30/60
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of PP.2) p. 11 of Rules No. 49
2. p. 49, p. 54 of Rules No. 49
3. non-Compliance with the requirements of paragraph 2 of Rules No. 47
2. p. 49, p. 54 of Rules No. 49
3. non-Compliance with the requirements of paragraph 2 of Rules No. 47
Date of performance:
20.02.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
- Regulation No. 49
2. Статья: 49, 54 - Regulation No. 49
3. Статья: 2 - Regulation No. 47
2. Статья: 49, 54 - Regulation No. 49
3. Статья: 2 - Regulation No. 47
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
ТОО "cash exghange"
Authorized organization
30.12.2019
64-07-22/3150
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. отсутствие у кассира опыта или справки о прохождении обучения, отсутствие в доступном для обозрения клиентами месте копий:лицензии, приложения, информации о кассире, отсутствие в Обменном пункте копии приказа о принятии кассира, документов на кассира, копии ПВК, документа с образцами подписей, копии рег.карточки на ККМ, копии договора с УБ., предоставление недоставерной отчетности, отсутствуют внутренние документы для автоматизации бух.учета.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 4
-
2. Статья: 39 Пункт: 1, 2, 9 -
3. Статья: 40 -
4. Статья: 1 Пункт: 11-1 -
5. Статья: 9 -
2. Статья: 39 Пункт: 1, 2, 9 -
3. Статья: 40 -
4. Статья: 1 Пункт: 11-1 -
5. Статья: 9 -
Type of Enactments
1. // Постановление Правления НБ РК № 178 от 24.09.2014 г.// Правила автоматизации ведения бухгалтерского учета № 47,Правила организации обменных операций с наличной иностранной валютой в Республике Казахстан № 49
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Microfinancial organization "Taraz" LLP
An organization engaged in microfinance activities
21.02.2020
203100803000003
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. untimely reporting
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Law of the Republic of Kazakhstan " on microfinance activities"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
Authorized organization
23.01.2020
31-06-30/79
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of p. 40, 49, 54 of Rules no. 49
2. non-compliance with p. 2 of Rules no. 47
2. non-compliance with p. 2 of Rules no. 47
Date of performance:
23.02.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 40, 49, 54
- Regulation No. 49
2. Статья: 2 - Regulation No. 47
2. Статья: 2 - Regulation No. 47
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
23.01.2020
31-06-30/74
Limited enforcement action
Written prescription
The nature of a breach:
1. Violations of PP.2) p. 11
2. p. 40 of Rules no. 49;
3. p. 6, 9 of Rules no. 47
4. p. 2 of article 10 of the AML/CFT Law
2. p. 40 of Rules no. 49;
3. p. 6, 9 of Rules no. 47
4. p. 2 of article 10 of the AML/CFT Law
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
-
2. Статья: 40 -
3. Статья: 6, 9 -
4. Статья: 10 Пункт: 2 -
2. Статья: 40 -
3. Статья: 6, 9 -
4. Статья: 10 Пункт: 2 -
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
07.02.2020
25-04-29/497
Limited enforcement action
Written prescription
The nature of a breach:
1. Violated: subparagraph 2) of paragraph 11, as well as paragraphs 42, 49, 54 of the Rules for organizing exchange operations with foreign currency in cash in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49.
Date of performance:
17.02.2020
Статья/пункты НПА, Статья КоАП:
Type of Enactments
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
05.02.2020
25-04-29/421
Limited enforcement action
Written prescription
The nature of a breach:
1. Violated: subparagraph 2) of paragraph 11, as well as paragraph 42 of the Rules for Organizing Exchange Operations with Foreign Currency in Cash in the Republic of Kazakhstan, approved by Resolution No. 49 of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019.
Date of performance:
12.02.2020
Статья/пункты НПА, Статья КоАП:
Type of Enactments
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
05.02.2020
25-04-29/421
Limited enforcement action
Written prescription
The nature of a breach:
1. Violated: subparagraph 2) of paragraph 11, as well as paragraph 42 of the Rules for Organizing Exchange Operations with Foreign Currency in Cash in the Republic of Kazakhstan, approved by Resolution No. 49 of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019.
Date of performance:
12.02.2020
Статья/пункты НПА, Статья КоАП:
Type of Enactments
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
09.12.2019
197500803000510
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202 000 тenge
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:
26.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
-
Note:
Resolution of the Almaty City branch of the National Bank of the Republic of Kazakhstan dated 18.12.2019
Type of Enactments
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
09.12.2019
197500803000510
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202 000 тenge
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:
26.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
-
Note:
Resolution of the Almaty City branch of the National Bank of the Republic of Kazakhstan dated 18.12.2019
Type of Enactments
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
