JSC "БТА Банк"
Issuer
11.01.2019
180000803001557
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
601250
The nature of a breach:
1. Non-fulfillment of obligations accepted and (or) imposed by applying restrictive enforcement measures
Date of performance:
18.03.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 227
Пункт: 3
-
Note:
The penalty is fulfilled
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"СУТ" JSC
Issuer
14.01.2019
180000803001553
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
120250
The nature of a breach:
1. Administrative sanction was applied due to repeated non-compliance (two or more times within consecutive calendar months) by the professional participant of the securities market, with the requirements provided for by legislation
Date of performance:
26.03.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 262
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Fulfilled
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
16.01.2019
№33-11-19/217
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to submit amendments and additions to the prospectus
Date of performance:
18.02.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 9
Пункт: 2
- 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
Issuer
17.01.2019
№33-10-02/233
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the requirements of the Law of the RK «On state regulation, control and supervision of the financial market and financial organizations» article 12-1, paragraph 3
Date of performance:
20.02.2019
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
АО "Мангистауская распределительная электросетевая компания"
Issuer
17.01.2019
33-11-19/234
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to submit amendments and additions to the prospectus
Date of performance:
17.02.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 9
Пункт: 2
- Law of the Republic of Kazakhstan "On Securities Market"
Note:
Executed by a letter dated 1/17/2019 No. 1888
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Altay-Alke-Atbasar" LLP
Authorized organization
04.06.2019
191100803000008
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of the procedure for submitting reports on registered registration certificates or certificates of notification or on currency monitoring, on exchange operations with foreign currency in cash, as well as information and documents confirming the occurrence of circumstances that affect the terms and conditions of repatriation of national and foreign currency 1. Invalid submission reporting on issued registration certificates or certificates of notification or on currency monitoring, on exchange transactions For transactions with foreign currency in cash - shall entail a warning to individuals and legal entities.
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)
"Kagazy Investments" JSC
Issuer
18.01.2019
33-11-19/247
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to submit amendments and additions to the prospectus
Date of performance:
22.02.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 9
Пункт: 2
- 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
«Триумф Финанс KZ» LLP
Authorized organization
05.06.2019
193500803/000012
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202000
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
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Note:
The requirementssub subparagraphs 2) of paragraphs 31 of the organization of foreign exchange operations with cash foreign currency in the Republic of Kazakhstan are riolland.
Type of Enactments
1. Қазақстан Республикасында қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыру қағидалары №144
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
"EVROASIA GLOBAL INVESTMENT" JSC
Issuer
18.01.2019
33-11-19/252
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to submit amendments and additions to the prospectus
Date of performance:
22.02.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 9
Пункт: 2
- 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
"Rannila Kazakhstan" JSC
Issuer
30.01.2019
№190000803000063
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
303000
The nature of a breach:
1. Non-fulfillment, untimely fulfillment of obligations accepted and (or) imposed by applying restrictive enforcement measures
Date of performance:
03.04.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 227
Пункт: 3
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
