Issuer
08.04.2015
150000803000690
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
198200
The nature of a breach:
1. Non-performance by subjects of securities market of an obligation for disclosure of information in an order and on the conditions determined by the legislation of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
08.04.2015
150000803000689
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
198200
The nature of a breach:
1. Non-performance by subjects of securities market of an obligation for disclosure of information in an order and on the conditions determined by the legislation of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Microfinancial organization "∑parta Capital" LLP
An organization engaged in microfinance activities
15.10.2019
65-40-10/1777
Limited enforcement action
Written prescription
The nature of a breach:
1. The requirements of subparagraph 1) of paragraph 3 of Article 20 are not provided, the statements do not contain information on the value of the property provided to ensure the fulfillment by the borrower of obligations to repay microcredit and pay interest
Date of performance:
18.11.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 20
Пункт: пп.1 п.3
-
Note:
executed
Type of Enactments
1. The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
"Express Finance Group" Microfinancial organization", LLP
An organization engaged in microfinance activities
21.11.2019
б/н
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
378750
The nature of a breach:
1. 211-баптың 2-бөлігі
Date of performance:
30.12.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 211
Пункт: 2
- The Code of Administrative Offenses
Type of Enactments
1. The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Microfinancial organization "Taraz" LLP
An organization engaged in microfinance activities
11.12.2019
№56-9-18/1383
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of the values of the coefficients k1 and k3
Date of performance:
20.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 5, 12
- Prudential standards and other binding norms for microfinance organization limits and the method of their calculation , as well as forms and terms of reporting on their implementation
Note:
Executed by the letter No. 72 of 19.12.2019.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
«Collection agency «Финансовой и правовой безопасности» LLP
Collection agency
08.06.2018
52-14-23/3005
Limited enforcement action
Written prescription
The nature of a breach:
1. the deadline for reporting period
Date of performance:
22.06.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 2
- GO NB RK №112 of 30.06.2017
Type of Enactments
1. On issues of reporting by collection agencies
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"SkyBridge Invest", JSC
Portofolio Manager
29.07.2014
Limited enforcement action
Commitment letter
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
26.01.2015
150000803000028-150000803000056
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
5 747 800 KZT
The nature of a breach:
1. administrative sanction was applied in violation of the requirements for the procedure and terms of disclosure of information about its activity established by the legislation of the Republic of Kazakhstan|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Freedom Finance”, JSC
Portofolio Manager
16.05.2015
150000803000801 - №150000803000823
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1 308 120
The nature of a breach:
1. administrative sanction was applied violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan concerning counteraction to legalization (laundering) of income earned illegally, and terrorism financing in the part of the documentary recording and provision of information on transactions subject to financial monitoring
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Fenomen" collection agency" LLP
Collection agency
18.12.2019
65-40-10/2158
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of the deadline for submission of information
Date of performance:
30.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 15
Пункт: пп.18 п.1
-
Note:
Performed
Type of Enactments
1. Law On collection activities
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
