“Kazakhstan Stock Exchange”, JSC
Organizations engaged in certain types of banking оperations
06.01.2014
30230/13
Limited enforcement action
Commitment letter
The nature of a breach:
1. For untimely granting statements by organization as of 01.12.2013
Date of performance:
16.01.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazakhstan Stock Exchange”, JSC
Organizations engaged in certain types of banking оperations
10.04.2014
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200,00
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazakhstan Stock Exchange”, JSC
Organizations engaged in certain types of banking оperations
30.04.2014
30218/296
Limited enforcement action
Written prescription
The nature of a breach:
1. For untimely granting statements by organization as of 01.04.2015
Date of performance:
16.05.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Kazpost", JSC
Organizations engaged in certain types of banking оperations
29.04.2016
58-12-11/1417
Limited enforcement action
Written warning
The nature of a breach:
1. For violation of paragraph 3 of Article 62-3 of the Law of the Republic of Kazakhstan «On the National Bank of the Republic of Kazakhstan»
Date of performance:
17.05.2016
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of financial consumer's rights
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
"Kazpost", JSC
Organizations engaged in certain types of banking оperations
25.05.2016
53-02-10/434/954
Limited enforcement action
Written prescription
The nature of a breach:
1. For violation order of №179 Instruction
Date of performance:
24.06.2016
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of financial consumer's rights
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
"Kazpost", JSC
Organizations engaged in certain types of banking оperations
13.10.2016
№6112081974
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of subclause 3 clause 62-3 of the Law RoK "About National Bank of the Republic of Kazakhstan"
Date of performance:
14.10.2016
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of financial consumer's rights
Name of Regional Branch of National Bank of Kazakhstan / Department:
Мангистауский филиал (Актау)
"Kazpost", JSC
Organizations engaged in certain types of banking оperations
12.12.2016
160000803003945
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 243
Пункт: 1
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Central Securities Depository", JSC
Organizations engaged in certain types of banking оperations
06.01.2017
160000803003960
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453 800
The nature of a breach:
1. Repeated (two or more times within twelve consecutive calendar months) reporting with inaccurate, and equally incomplete data
Статья/пункты НПА, Статья КоАП:
1.
Статья: 256
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Kazpost", JSC
Organizations engaged in certain types of banking оperations
06.01.2017
№54-09-07/39
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the terms of the requested documents and explanations
Date of performance:
10.01.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 62-3
Пункт: 3
- Of the Law RoK "About National Bank of the Republic of Kazakhstan" №2155 the 30 of March, 1995 year
Note:
Done letters №№ 42-05 / 43-05 and 3/3 from 09.01.2017y.
Type of Enactments
1. Concerning observance of financial consumer's rights
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
"Central Securities Depository", JSC
Organizations engaged in certain types of banking оperations
20.01.2017
160000803004034
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
339 360
The nature of a breach:
1. Administrative violation was due to the discrepancy of the rules of internal control with the legislation of the Republic of Kazakhstan on counteraction of legitimization (laundering) of incomes received by illegal means, and financing of terrorism
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
The decision was determined by Almaty city court
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
