Issuer
20.11.2018
33-10-02/7478
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
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
Authorized organization
18.04.2018
протокол об административном правонарушении 64-07-15/3/71/1384 от 12.04.2018г.
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
192400
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:
29.05.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- Violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
Authorized organization
19.04.2018
64-07-26/1614
Limited enforcement action
Written prescription
The nature of a breach:
1. қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыруды бұзу
Date of performance:
30.04.2018
Статья/пункты НПА, Статья КоАП:
1.
- Of the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 No. 144
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
Issuer
20.11.2018
33-10-02/7477
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
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
Issuer
20.11.2018
33-10-02/7480
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
Date of performance:
12.12.2018
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
Жетысу Капитал
Issuer
20.11.2018
33-11-18/7457
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102, paragraph 4
Date of performance:
04.12.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 4
- Law of the Republic of Kazakhstan "On Securities Market"
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
«Сарыарка Финанс»
Authorized organization
20.04.2018
64-07-26/240
Limited enforcement action
Written prescription
The nature of a breach:
1. п.38, 40, 46, 51, 53, 56 Правил №144
2. п.3 ст.11 Закона ПОД/ФТ
2. п.3 ст.11 Закона ПОД/ФТ
Date of performance:
27.04.2018
Статья/пункты НПА, Статья КоАП:
1.
-
2. - О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма
2. - О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"КАЗАХСТАНСКАЯ ТРАНСПОРТНАЯ ЛИЗИНГОВАЯ КОМПАНИЯ" JSC
Issuer
20.11.2018
33-10-02/7479
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
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
"Kokshetau finans servis" LLP
Authorized organization
24.04.2018
50-07-17/925
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of paragraphs 51 of the Rules for the organization of exchange transactions with cash foreign currency in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan of July 16, 2014 No. 144
Date of performance:
18.05.2018
Статья/пункты НПА, Статья КоАП:
1.
- Of the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 No. 144
Note:
Executed letter of "Kokshetau finans servis" LLP from 15.05.2018 year
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Акмолинский филиал (Кокшетау)
"National medical university" JSC
Issuer
22.11.2018
33-10-02/7527
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 79, paragraph 2-2
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
