ТОО "ЖИБЕК ЖОЛЫ НМ ВАЛЮТ"
Authorized organization
05.07.2017
64-07-26/2501
Limited enforcement action
Written prescription
The nature of a breach:
1. несоответствие правил внутреннего контроля требованиям закона ПОД/ФТ
Date of performance:
17.07.2017
Статья/пункты НПА, Статья КоАП:
1.
- Постановление Правления Национального Банка Республики Казахстан от 16 июля 2014 года № 144 Об утверждении Правил организации обменных операций с наличной иностранной валютой в Республике Казахстан
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"ZHalish" LLC
Authorized organization
18.07.2017
65-30-40/1977
Limited enforcement action
Written warning
The nature of a breach:
1. paragraph 31 of regulation No. 144
Date of performance:
18.07.2018
Статья/пункты НПА, Статья КоАП:
Note:
Was not a contract with a private security organization for the protection of the premises by armed security post.
Type of Enactments
1. On requirenments for security and office space organization
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
"ZHalish" LLC
Authorized organization
18.07.2017
175100803000127
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
181520
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:
02.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Note:
Paid voluntarily check number 1708158809464 from 15.08.2017 year in the amount of 181520
Type of Enactments
1. On requirenments for security and office space organization
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
JSC "CASPIAN GROUP"
Issuer
23.04.2019
№33-10-02/1638
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities
Date of performance:
17.05.2019
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
JSC "Irtysh Polimetall"
Issuer
23.04.2019
№33-11-19/1639
Limited enforcement action
Written warning
The nature of a breach:
1. Non-fulfillment by the subjects of market of equities of duty on opening of information all right and on the terms determined by the legislation of РК
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
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
Красноярское JSC
Issuer
02.05.2019
190000803000186
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
126250
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:
04.07.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 262
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
The penalty is paid in 20.05.19
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"КазАгроГарант" JSC
Issuer
02.05.2019
33-10-02/1746
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102, paragraph 4
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
JSC Санаторий Щучинский
Issuer
03.05.2019
33-10-02/1763
Limited enforcement action
Written warning
The nature of a breach:
1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities
Статья/пункты НПА, Статья КоАП:
1.
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
08.05.2019
№33-11-19/1825
Limited enforcement action
Written warning
The nature of a breach:
1. Ill-timed placing of list of persons on the state on 01.04.2019г.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.3 п.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
«East Kazakhstan flour and feed-milling plant» JSC
Issuer
08.05.2019
№33-11-19/1817
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-publication of the list of affiliated persons as of 01.04.2019.
Date of performance:
15.06.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.3 п.2
- Law of the Republic of Kazakhstan "On Securities Market"
Note:
It is carried out by a letter from 07.06.2019 №18886
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
