“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
25.04.2014
140000803000031
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
370 400тг.
The nature of a breach:
1. Sanction was applied due failure by the issuer of the capital issues of the requirements for the procedure and conditions of disclosure information about his activity (official Dzholdasbekov А.)
Статья/пункты НПА, Статья КоАП:
1.
Статья: 199
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
15.06.2017
27-5-04/447
Limited enforcement action
Written warning
The nature of a breach:
1. The failure to file the financial statements and other types of reporting on time
Статья/пункты НПА, Статья КоАП:
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
Bidding Organizer
27.02.2018
№180000803000578
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
240 500 тенге
The nature of a breach:
1. repeated (two and more times within twelve sequential calendar months) failure to represent information to the authorized body
Статья/пункты НПА, Статья КоАП:
1.
Статья: 256
Пункт: 1
-
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
Bidding Organizer
19.03.2018
№180000803000509-0512 №180000803000514-0522 №180000803000524-0528 №180000803000530-0533 №180000803000535-0537 №180000803000539-0544 №180000803000546-0547 №180000803000549-0559 №180000803000561-0577 №180000803000579-0588
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
7 215 000 тенге
The nature of a breach:
1. The law on combating money laundering and the financing of terrorism p.2 art.10
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:
Центральный аппарат
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
19.03.2018
№180000803000116-0174 №180000803000176-0179 №180000803000181-0213 №180000803000215-0248 №180000803000250-0311 №180000803000313-0451 №180000803000453-0473 №180000803000475-0486 №180000803000488-0497 №180000803000499-0501 №180000803000503-0507
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
7 215 000 тенге
The nature of a breach:
1. The law on combating money laundering and the financing of terrorism p.2 art.10
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:
Центральный аппарат
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
23.05.2018
№33-8-05/2942
Limited enforcement action
Written prescription
The nature of a breach:
1. Regarding the remedial actions that is required to be taken in order to eliminate violations detected during the inspection together with the causes and conditions facilitating its commitment with provision of the relevant plan of actions
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
12.11.2018
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
240 500
The nature of a breach:
1. repeated (two and more times within twelve sequential calendar months) misleading and (or) incomplete reporting to the authorized body
Статья/пункты НПА, Статья КоАП:
1.
Статья: 256
Пункт: 2
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Integrated accumulative pension fund", JSC
Pensions Savings Fund
29.09.2010
Limited enforcement action
Written prescription
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
"Astana" Accumulative Pension Fund”, JSC (renamed from “Eurasian Accumulative Pension Fund”, JSC)
Pensions Savings Fund
14.01.2013
Limited enforcement action
Commitment letter
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
"Astana" Accumulative Pension Fund”, JSC (renamed from “Eurasian Accumulative Pension Fund”, JSC)
Pensions Savings Fund
10.01.2013
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173 100,00
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
