"West Money" LTD
Authorized organization
01.08.2017
172300803000006
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453800
The nature of a breach:
1. Submission of unreliable, as well as incomplete report, according to the Annex 11-1 form to the NBK Board decree on September 24, 2014 No. 178 "On approval of the list, forms, deadlines for reporting by organizations performing the certain types of banking operations and the Rules for their submission"
Date of performance:
17.08.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 213
Пункт: 2
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Note:
paid on 28 July, 2017
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
Тайтұяқ, LTD
Authorized organization
02.08.2017
172300803000012
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226900
The nature of a breach:
1. Аdministrative offense resulted in the accounting with the violation of the requirements established by the legislation of the Republic of Kazakhstan on accounting and financial reporting, and methods (principles) of accounting, which led to a distortion of the financial statements
Date of performance:
10.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 239
Пункт: 4
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Paid on 31 August, 2017
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
Тайтұяқ, LTD
Authorized organization
07.08.2017
172300803000011
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453800
The nature of a breach:
1. Submission of unreliable, as well as incomplete report, according to the Annex 11-1 form to the NBK Board decree on September 24, 2014 No. 178 "On approval of the list, forms, deadlines for reporting by organizations performing the certain types of banking operations and the Rules for their submission"
Date of performance:
03.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 213
Пункт: 2
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Note:
paid on 31 August, 2017
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
"Insurance Broker "Axiom", LLP
Insurance brockers
05.01.2018
№170000803001655
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1 100 000 тенге
The nature of a breach:
1. administrative offense resulted in the accounting of the violation of the requirements established by the legislation of the Republic of Kazakhstan on accounting and financial reporting, and methods (principles) accounting, which led to a distortion of the financial statements
Date of performance:
06.02.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 239
Пункт: 4
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Broker "Axiom", LLP
Insurance brockers
05.01.2018
№170000803001658
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453 800 тенге
The nature of a breach:
1. administrative sanction was applied due to in the submission to the authorized body false statements
Date of performance:
06.02.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 228
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Broker "Axiom", LLP
Insurance brockers
05.01.2018
№170000803001657
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453 800 тенге
The nature of a breach:
1. administrative sanction was applied due to in the submission to the authorized body false statements
Date of performance:
06.02.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 228
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Broker "Axiom", LLP
Insurance brockers
05.01.2018
№170000803001656
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453 800 тенге
The nature of a breach:
1. Administrative sanction was applied due to in the submission to the authorized body false statements
Date of performance:
06.02.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 228
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Broker "Axiom", LLP
Insurance brockers
17.01.2018
№170000803001668
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
567 250
The nature of a breach:
1. Non-fulfillment of the obligations by subjects of financial monitoring on development, acceptance and (or) execution of the rules of internal control and programs of its carrying out or inconsistence of internal control with the requirements of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes received by illegal means and financing of terrorism
Date of performance:
26.02.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Broker "Axiom", LLP
Insurance brockers
25.04.2018
№33-3-08/2396
Limited enforcement action
Written prescription
The nature of a breach:
1. By results of inspection
Date of performance:
05.05.2018
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"MOI Insurance Broker.kz", LLP
Insurance brockers
05.05.2018
180000803000928
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
481 000 тенге
The nature of a breach:
1. Administrative sanction was applied due to in the submission to the authorized body false statements
Date of performance:
28.06.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 228
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Payed
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
