"Aiyrbastau-Zhaiyk" LLP
Authorized organization
10.07.2018
2312-18-00-3/4895
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
420880
The nature of a breach:
1. The discrepancy between the rules of internal control and the requirements of the Law of the Republic of Kazakhstan on Counteracting the legalization (laundering) of proceeds from crime and financing of terrorism
Date of performance:
27.07.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 2
- "Non-fulfillment of obligations by the subjects of financial monitoring on development, adoption and (or) execution of internal control rules and programs for its implementation, or non-compliance of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing terrorism shall
Note:
The administrative case was examined by the Special Administrative Court of Atyrau
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
"ARAI resourсes"
Authorized organization
13.07.2018
№64-07-26/3133
Limited enforcement action
Written prescription
The nature of a breach:
1. Отсутствовали копия Правил внутреннего контроля, распоряжение об установлении курсов.
Date of performance:
16.07.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 36, 40
- Правил №144
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)
"Altyn tenge" LLP
Authorized organization
17.07.2018
2799-18-00-3а\153
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
5820100
The nature of a breach:
1. Violation law of RoK "On Counteraction of Legitimization (Laundering) of Incomes Received by Illegal Means, and Financing of Terrorism"
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:
Западно-Казахстанский филиал (Уральск)
KhazarObmenBalut
Authorized organization
24.07.2018
Limited enforcement action
Written prescription
The nature of a breach:
1. For violation of the legislation Repablic of Kazakhstan on accounting and financial reporting
Date of performance:
06.08.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 6
Пункт: 2
- The Law Republic of Kazakhstan "On Accounting and Financial Reporting"
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Мангистауский филиал (Актау)
LLP Galіm
Authorized organization
26.07.2018
60-05-12/1411
Limited enforcement action
Written prescription
The nature of a breach:
1. for violation of the requirements of the legislation on combating the legalization of proceeds from crime, and the financing of terrorism
Date of performance:
06.08.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 3, 11
- The Law on Combating the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
"Kazyna Burabay" LLP
Authorized organization
27.07.2018
181100803000053
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. provision of unreliable reporting on exchange transactions with cash foreign currency
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:
Акмолинский филиал (Кокшетау)
"Dyuk"LLP
Authorized organization
07.08.2018
63-5-24/2420
Limited enforcement action
Written prescription
The nature of a breach:
1. activity on organization of exchange operations with foreign currency in cash
Date of performance:
17.08.2018
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Северо-Казахстанский филиал (Петропавловск)
"НОКА-Капитал"
Authorized organization
07.08.2018
64-07-26/3461
Limited enforcement action
Written prescription
The nature of a breach:
1. нарушение требований Закона "О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма", а также организации обменных операций с наличной иностранной валютой
Date of performance:
13.08.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 3
- Закон ПОДФТ
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)
LLP Galіm
Authorized organization
09.08.2018
4356-18-00-3/103
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
601 250 тенге
The nature of a breach:
1. Inconsistency of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds from crime and financing of terrorism
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 2
- "Non-fulfillment of obligations by the subjects of financial monitoring on development, adoption and (or) execution of internal control rules and programs for its implementation, or non-compliance of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing terrorism shall
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
"Вайпер-1" LLP
Authorized organization
04.09.2018
55-08-22/2
Limited enforcement action
Written warning
The nature of a breach:
1. the cashier's own money was in the premises of the operating cash Desk of the exchange office
Date of performance:
04.09.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 37
- Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the national Bank of Kazakhstan 16.07.2014 № 144
Note:
Responsibility for this violation in the administrative Code is not provided
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
