«Nachalo» LLP
Authorized organization
16.01.2020
б/н
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
212080
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
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:
Западно-Казахстанский филиал (Уральск)
«Nachalo» LLP
Authorized organization
16.01.2020
б/н
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
212080
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
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:
Западно-Казахстанский филиал (Уральск)
"Арсенал-Exchange" LLP
Authorized organization
17.01.2020
25-10-18/152
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-compliance with the requirements of the Rules for 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 April 4, 2019 No. 49
Date of performance:
25.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
- 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: 49 - Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
3. Статья: 54 - 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: 49 - Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
3. Статья: 54 - Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
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)
«Nachalo» LLP
Authorized organization
20.01.2020
31-06-30/60
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of PP.2) p. 11,
2. p. 49, p. 54 of Rules No. 49/
3. non-Compliance with the requirements of paragraph 2 of Rules No. 47
2. p. 49, p. 54 of Rules No. 49/
3. non-Compliance with the requirements of paragraph 2 of Rules No. 47
Date of performance:
20.02.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
- Regulation No. 49
2. Статья: 49, 54 - Regulation No. 49
3. Статья: 2 - Regulation No. 47
2. Статья: 49, 54 - Regulation No. 49
3. Статья: 2 - Regulation No. 47
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
23.01.2020
31-06-30/74
Limited enforcement action
Written prescription
The nature of a breach:
1. Violations of PP.2) p. 11, p. 40 of Rules no. 49; p. 6, 9 of Rules no. 47, p. 2 of article 10 of the AML/CFT Law
Date of performance:
23.02.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
-
2. Статья: 40 -
3. Статья: 6, 9 -
4. Статья: 10 Пункт: 2 -
2. Статья: 40 -
3. Статья: 6, 9 -
4. Статья: 10 Пункт: 2 -
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
23.01.2020
31-06-30/79
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of p. 40, 49, 54 of Rules no. 49/non-compliance with p. 2 of Rules no. 47
Date of performance:
23.02.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 40, 49, 54
- Regulation No. 49
2. Статья: 2 - Regulation No. 47
2. Статья: 2 - Regulation No. 47
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
23.01.2020
2712-20-00-3/294
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
408254
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)
LLP "Тумар Exchange"
Authorized organization
30.01.2020
№25-04-349 от 30.01.2020г.
Limited enforcement action
Written prescription
The nature of a breach:
1. Organizational organization of full-fledged transactions with low-cost currency
Date of performance:
07.02.2020
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)
"Helena" LLP
Authorized organization
18.02.2020
№ 193500803/000061 № 193500803/000062
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
494900 тенге
The nature of a breach:
1. Regarding the presentation of information on transactions subject to financial monitoring
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:
Карагандинский филиал (Караганда)
Authorized organization
03.03.2020
207100803000025
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. violation of the deadline for submitting a report on the organization of exchange operations with cash foreign currency
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 5
- 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:
Центральный филиал (Нур-Султан)
