"Mukan" LLP
Authorized organization
10.12.2019
197500803000518
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
555 500
The nature of a breach:
1. Legislation on the control of the laws and laws of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds of crime and the financing of terrorism in terms of documenting, storing and providing information about transactions subject to financial monitoring, to their client, due diligence of clients (their representatives) and beneficiary bodies. Owners, suspension and refusal to conduct operations subject to financial monitoring, protection of documents received in the course of their activities
Date of performance:
04.02.2020
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:
Алматинский городской филиал (Алматы)
"Астана Exchange" LLP
Authorized organization
11.12.2019
52-10-35/5269
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-compliance with the requirements of the Rules of 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 Kazakhstan dated April 4, 2019 No. 49;
3. Failure to comply with the requirements of the legislation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, when conducting transactions on the purchase, sale and exchange of foreign currency in exchange offices;
4. Not reliable representation in branch of data on structure of assets, liabilities and the capital, the income and expenses of the authorized organization.
3. Failure to comply with the requirements of the legislation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, when conducting transactions on the purchase, sale and exchange of foreign currency in exchange offices;
4. Not reliable representation in branch of data on structure of assets, liabilities and the capital, the income and expenses of the authorized organization.
Date of performance:
20.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 39
Пункт: 6,7
- Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
2. Статья: 51 - 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"
3. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
4. - The inaccuracy of the presentation of the report “On the structure of assets, liabilities and capital, income and expenses of a legal entity, the exclusive activity of which is the organization of exchange operations with cash foreign currency”
2. Статья: 51 - 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"
3. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
4. - The inaccuracy of the presentation of the report “On the structure of assets, liabilities and capital, income and expenses of a legal entity, the exclusive activity of which is the organization of exchange operations with cash foreign currency”
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Limited liability partnership "Exchange office" RV"
Authorized organization
11.12.2019
52-10-35/5265
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of the organization of exchange operations with cash foreign currency
Date of performance:
20.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 51
- 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"
2. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
2. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Mukan" LLP
Authorized organization
13.12.2019
52-10-35/5285
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-compliance with the requirements of the Rules of 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 Kazakhstan dated April 4, 2019 No. 49;
4. Failure to comply with the requirements of the legislation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, when conducting transactions on the purchase, sale and exchange of foreign currency in exchange offices.
4. Failure to comply with the requirements of the legislation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, when conducting transactions on the purchase, sale and exchange of foreign currency in exchange offices.
Date of performance:
23.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 40
Пункт: 1,2,3
- Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
2. Статья: 42 - 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"
3. Статья: 51 - 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"
4. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
2. Статья: 42 - 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"
3. Статья: 51 - 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"
4. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
18.12.2019
57-06-30/1516
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to comply with paragraph 2 of Regulation No. 47//
2. unreliable report for the 3rd quarter of 2019 under Annex 11-1 to Regulation No. 178//
3. unreliable report for September 2019 under Annex No. 13 to Regulation No. 49
2. unreliable report for the 3rd quarter of 2019 under Annex 11-1 to Regulation No. 178//
3. unreliable report for September 2019 under Annex No. 13 to Regulation No. 49
Date of performance:
13.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 2
-
2. -
3. Статья: 63 -
2. -
3. Статья: 63 -
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
18.12.2019
57-06-30/1512
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:
13.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 6, 9
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
18.12.2019
57-06-30/1517
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:
13.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 6, 9
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
ТОО "Global Finance Group"
Authorized organization
30.12.2019
64-07-22/3151
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. в доступном для клиенте месте отсутствовали:копия лицензии и приложения, личные вещи хранились в помещении обменного пункта, недостоверный отчет.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 39
Пункт: 1, 2
- Rules of organization of exchange operations with available foreign currency, ratified by the decision of Rule of National bank of republic of Kazakhstan from 04.04.2019 №49
2. Статья: 41 - Правила №49
3. Статья: 1 Пункт: 11-1 - Постановление №178
2. Статья: 41 - Правила №49
3. Статья: 1 Пункт: 11-1 - Постановление №178
Type of Enactments
1. Rules of org-n of exchange operations with available foreign currency in RK №49 // the Resolution of Board of NB of RK № 178 dated 24.09.2014
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
ТОО "cash exghange"
Authorized organization
30.12.2019
64-07-22/3150
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. отсутствие у кассира опыта или справки о прохождении обучения, отсутствие в доступном для обозрения клиентами месте копий:лицензии, приложения, информации о кассире, отсутствие в Обменном пункте копии приказа о принятии кассира, документов на кассира, копии ПВК, документа с образцами подписей, копии рег.карточки на ККМ, копии договора с УБ., предоставление недоставерной отчетности, отсутствуют внутренние документы для автоматизации бух.учета.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 4
-
2. Статья: 39 Пункт: 1, 2, 9 -
3. Статья: 40 -
4. Статья: 1 Пункт: 11-1 -
5. Статья: 9 -
2. Статья: 39 Пункт: 1, 2, 9 -
3. Статья: 40 -
4. Статья: 1 Пункт: 11-1 -
5. Статья: 9 -
Type of Enactments
1. // Постановление Правления НБ РК № 178 от 24.09.2014 г.// Правила автоматизации ведения бухгалтерского учета № 47,Правила организации обменных операций с наличной иностранной валютой в Республике Казахстан № 49
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Арсенал-Exchange" LLP
Authorized organization
09.01.2020
№207500803000003
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
212 080 тенге
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:
08.02.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
