ТОО "Изобилие-Астана"
Authorized organization
01.11.2018
64-07-15/3/71/1787
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:
10.12.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. On requirenments for security and office space organization
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
ТОО «AVA Exchange»
Authorized organization
06.11.2018
64-07-15/3/71/1792
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
192400
The nature of a breach:
1. обменный пункт не охранялся вооруженным постом охраны частной охранной организации
Date of performance:
17.12.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. On requirenments for security and office space organization
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Дамина" LLP
Authorized organization
07.11.2018
54-04-43/2515
Limited enforcement action
Written prescription
The nature of a breach:
1. For violation of requirements in the field of automation of accounting
Date of performance:
26.11.2018
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
ТОО «AVA Exchange»
Authorized organization
13.11.2018
64-07-26/4824
Limited enforcement action
Written prescription
The nature of a breach:
1. пункт 3 статьи 11 Закона ПОД/ФТ, а также Требованиям № 236 .
2. - подпункты 1) и 2) пункта 31 Правил № 144 (ТОО не охраняется вооруженным постом охраны частной охранной организации, а также неисправность системы видеонаблюдения);
3. - пункт 36 Правил № 144 (на момент проверки в помещении обменного пункта отсутствовали правила внутреннего контроля, документ с образцами подписей, копия договора с уполномоченным банком);
4. - пункт 37 Правил № 144 (на момент проверки в помещении операционной кассы обменного пункта ТОО находились личные вещи кассира);
5. - пункт 40 Правил № 144 (проведение операций по неустановленным курсам);
6. - пункт 42 Правил № 144 (распоряжения издаются в одном экземпляре).
2. - подпункты 1) и 2) пункта 31 Правил № 144 (ТОО не охраняется вооруженным постом охраны частной охранной организации, а также неисправность системы видеонаблюдения);
3. - пункт 36 Правил № 144 (на момент проверки в помещении обменного пункта отсутствовали правила внутреннего контроля, документ с образцами подписей, копия договора с уполномоченным банком);
4. - пункт 37 Правил № 144 (на момент проверки в помещении операционной кассы обменного пункта ТОО находились личные вещи кассира);
5. - пункт 40 Правил № 144 (проведение операций по неустановленным курсам);
6. - пункт 42 Правил № 144 (распоряжения издаются в одном экземпляре).
Date of performance:
26.11.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 3
- Закон ПОДФТ
2. Статья: 31 Пункт: пп. 1, 2 - Правила №144
3. Статья: 36 -
4. Статья: 37 -
5. Статья: 40 -
6. Статья: 42 -
2. Статья: 31 Пункт: пп. 1, 2 - Правила №144
3. Статья: 36 -
4. Статья: 37 -
5. Статья: 40 -
6. Статья: 42 -
Note:
- подпункты 1) и 2) пункта 31 Правил № 144 (ТОО не охраняется вооруженным постом охраны частной охранной организации, а также неисправность системы видеонаблюдения);- пункт 36 Правил № 144 (на момент проверки в помещении обменного пункта отсутствовали правила внутреннего контроля, документ с образцами подписей, копия договора с уполномоченным банком);- пункт 37 Правил № 144 (на момент проверки в помещении операционной кассы обменного пункта ТОО находились личные вещи кассира);- пункт 40 Правил № 144 (проведение операций по неустановленным курсам);- пункт 42 Правил № 144 (распоряжения издаются в одном экземпляре).пункт 3 статьи 11 Закона ПОД/ФТ, а также Требованиям № 236 .
Type of Enactments
1. Rules of org-n of exchange operations with available foreign currency in RK №144//The Law of the RK «On Accounting and Financial Reporting»//The Law of RK«ON Counteraction of Legitimization of Incomes Received by Illegal Means, and Financing of Terrorism»
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"EXCHANGE ЕВРАЗИЯ" LLP
Authorized organization
19.11.2018
б/н
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:
28.12.2018
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
Note:
Violation of PP.2) clause 31 of the rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the PP of the NBK dated 16.07.2014 № 144
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
"EXCHANGE ЕВРАЗИЯ" LLP
Authorized organization
26.11.2018
57-06-30/2489
Limited enforcement action
Written prescription
The nature of a breach:
1. The video surveillance system of the operating cash Desk of the exchange office did not provide recording and storage of information within thirty calendar days, exchange operations after its completion were not recorded in the register of purchased and sold foreign currency, exchange operations were not confirmed by the issuance of a control check in accordance with the requirements of the tax legislation of the Republic of Kazakhstan.
Date of performance:
30.11.2018
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:
Западно-Казахстанский филиал (Уральск)
ТОО "Изобилие-Астана"
Authorized organization
27.11.2018
64-07-26/4947
Sanctions and other administrative penalties
License suspension
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:
26.12.2018
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)
Limited Liability Partnership "Udacha-1"
Authorized organization
30.11.2018
Limited enforcement action
Written warning
The nature of a breach:
1. subparagraph 2) of paragraph 31 of Regulation No. 144 - the operating cash desk of the exchange office is equipped with a video surveillance system that records and stores information for thirty calendar days, while the working area of the cashier and the client must be in view of video surveillance, and the corresponding devices are installed in places that provide no interference with video surveillance. Paragraph 37 of Regulation No. 144 - personal items of the cashier (own money) of the exchange office were located in the operating cash desks of the exchange offices.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 31
Пункт: 2
- Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
Note:
Responsibility for these violations is not stipulated in the Administrative Code
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
Authorized organization
13.12.2018
64-07-26/5231
Limited enforcement action
Written prescription
The nature of a breach:
1. №144 Қаулысының 31,35,36,37,40 тармағы
Date of performance:
24.12.2018
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)
Firma Azamat LTD
Authorized organization
21.12.2018
611015/1
Limited enforcement action
Written warning
The nature of a breach:
1. violation of organization of exchange operations with available foreign currency
Статья/пункты НПА, Статья КоАП:
1.
-
Note:
violation of organization of exchange operations with available foreign currency
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Мангистауский филиал (Актау)
