Measures being imposed

1. The failure to file the financial statements and other types of reporting on time

1. Статья: 212 Пункт: 1 - Of the Code of the Republic of Kazakhstan "on administrative offences"

1. On submission financial and other reporting

Центральный аппарат

1. - Requirement of rules № 47

1. On compliance with accounting and financial reporting standards

Центральный аппарат

1. According to the results of the inspection

07.11.2018

Implemented

1. Concerning regulation of financial sector

Центральный аппарат

1. Violation of terms of providing refusal in implementation of insurance payment and drawing up the inspection report

22.11.2018

1. Статья: 3 - Of the Rules for determining the amount of damage caused to a vehicle approved by the resolution of the Board of the National Bank of the RK dated 28.01.2016, № 14
2. Статья: 29 Пункт: 3 - Of the Law of the Republic of Kazakhstan of 1 July 2003 No. 446-II " on compulsory insurance of civil liability of vehicle owners»

executed by letter No. 140-18 of 21.11.2018.

1. Concerning regulation of financial sector

Карагандинский филиал (Караганда)

2020200

1. Аdministrative sanction was applied due to violation of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of proceeds from crime and financing of terrorism in terms of suspension and failure to conduct transactions subject to financial monitoring, and providing information on transactions subject to financial monitoring

10.12.2018

1. Статья: 214 Пункт: 1 - Of Administrative Violations Code of the Republic of Kazakhstan

Payed

1. Concerning regulation of financial sector

Центральный аппарат

1. - Requirement of rules № 47

1. On compliance with accounting and financial reporting standards

Центральный аппарат

73274

1. The conclusion of an obligatory insurance contract by an insurance (reinsurance) company on conditions that do not comply with the requirements of the legislation of the Republic of Kazakhstan, expressed in setting the size of insurance premiums other than those specified by the laws of the Republic of Kazakhstan on compulsory types of insurance, as well as incorrect (unreasonable) application of coefficients in calculating insurance premiums

13.12.2018

1. Статья: 230 Пункт: 5 -

Payed

1. Concerning regulation of financial sector

Центральный аппарат

1. License to carry out insurance (reinsurance) activities in the insurance industry of “general insurance” was suspended for six months for compulsory and voluntary forms and activities on reinsurance: - failure to comply limited measures of influence, applied by the authorized body; - violation of legislative acts of the Republic of Kazakhstan regulating the mandatory types of insurance, expressed in the use of unjustified amounts of insurance premiums; - systematic (three or more times within twelve consecutive calendar months) violation of the requirements provided by the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of criminal proceeds and the financing of terrorism.

The validity of the License for voluntary forms of insurance shall be considered as suspended for six months from the date of bringing this decision to the attention of IC «TransOil», JSC. It is brought to the attention on 2018-10-31.

1. Concerning regulation of financial sector

Центральный аппарат

1. License was suspended for three months in annuity insurance and compulsory insurance of employee against accidents when he/she performs his/her work (office) duties (workers’ compensation) for non-compliance with the requirements of prudential standards, established by the legislation of the Republic of Kazakhstan.

The license shall be considered as suspended from the day of bringing this resolution to the notice of «IC «TransOil» JSC. Brought to the attention 31.10.2018.

1. Concerning regulation of financial sector

Центральный аппарат

1. According to the results of the inspection

06.11.2018

1. Concerning regulation of financial sector

Центральный аппарат