"Сергал" LLP
Authorized organization
25.10.2016
165500803000012
Sanctions and other administrative penalties
Warning
The nature of a breach:
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:
Павлодарский филиал (Павлодар)
«ФИНАНС-ТРАНЗИТ» LLP
Authorized organization
27.10.2016
Limited enforcement action
Written warning
The nature of a breach:
1. The requirements of paragraphs 31, 51, 53 of the organization of foreign exchange operations with cash foreign currency in the Republic of Kazakhstan and requirements of article 6 of the Low of the Republic of Kazakhstan of Acconting and financial reporting are violated.
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
"NNS" LLP
Authorized organization
31.10.2016
55-08-22 ОМВ от 31.10.2016г.
Limited enforcement action
Written prescription
The nature of a breach:
1. subparagraph 5) of point 35 – in an exchange item is absent the information stand for clients containing data on buying rate, sales of cash foreign currency for tenge;
2. - point 37 – personal belongings of the cashier of an exchange item (outerwear and a ladies' handbag) were in premises of operational cash desk of an exchange item.
2. - point 37 – personal belongings of the cashier of an exchange item (outerwear and a ladies' handbag) were in premises of operational cash desk of an exchange item.
Date of performance:
11.11.2016
Статья/пункты НПА, Статья КоАП:
1.
Статья: 35
Пункт: 5
- 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: 37 - 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: 37 - 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"
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)
"Сергал" LLP
Authorized organization
01.11.2016
165500803000014
Sanctions and other administrative penalties
Warning
The nature of a breach:
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:
Павлодарский филиал (Павлодар)
"Сергал" LLP
Authorized organization
01.11.2016
165500803000013
Sanctions and other administrative penalties
Warning
The nature of a breach:
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:
Павлодарский филиал (Павлодар)
"Oralhan" LLP
Authorized organization
02.11.2016
60-05-12/2066СК
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the requirement of an existing surveillance system requirements.
Date of performance:
25.11.2016
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"
2. Статья: 7 - Rules №250
3. Статья: 9 - Rules №250
2. Статья: 7 - Rules №250
3. Статья: 9 - Rules №250
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
Authorized organization
02.11.2016
Постановление СМАС г. Астаны №3/25934 (протокол №64-07-15/3/71/904 от 13.10.2016г.)
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
466620 тенге
The nature of a breach:
1. Нарушение субъектами финансового мониторинга законодательства Республики Казахстан о противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма в части документального фиксирования, хранения и предоставления информации об операциях, подлежащих финансовому мониторингу, их клиентах, надлежащей проверки клиентов (их представителей) и бенефициарных собственников, приостановления и отказа от проведения операций, подлежащих финансовому мониторингу, защиты документов, полученных в процессе своей деятельности
Date of performance:
12.12.2016
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:
Центральный филиал (Нур-Султан)
Authorized organization
10.11.2016
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
22.11.2016
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Актюбинский филиал (Актобе)
«Курс Алматы» LLP
Authorized organization
17.11.2016
52-10-29/3/75/2668 и 52-10-29/3/75/2669
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
339360
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:
27.12.2016
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:
Алматинский городской филиал (Алматы)
Authorized organization
17.11.2016
161500803000017
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
742 350 тенге
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 227
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:
Актюбинский филиал (Актобе)
