Issuer
08.05.2019
№33-11-19/1816
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-deployment of list off persons on the state on 01.04.2019г.
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:
19693 is carried №out from 14.06.2019
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
№33-11-19/1815
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-deployment of list of persons on the state on 01.04.2019г.
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"
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
АО "Востокшахтострой"
Issuer
08.05.2019
33-11-19/1814
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-deployment of list of persons on the state on 01.04.2019г.
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"
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"КАЗАХСТАН ГИС ЦЕНТР" JSC
Issuer
13.05.2019
№33-11-19/1835
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-placement of the list of affiliated persons as of 01.04.2019
Date of performance:
14.06.2019
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
"Таур Exchange" LLP
Authorized organization
27.07.2017
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
998360
The nature of a breach:
1. Violation by the entities of financial monitoring of legislation of the Republic of Kazakhstan on combating the legalization (laundering) of illigally gained income and financing of terrorism in terms of documenting, storing and providing information on operations subject to financial monitoring, on their clients, on due diligence of clients (their representatives) and beneficiary owners, suspension and refusal to conduct operations subject to financial monitoring, protection of documents received in the process of its activities
Date of performance:
05.09.2017
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)
ТОО "ЖИБЕК ЖОЛЫ НМ ВАЛЮТ"
Authorized organization
27.07.2017
№3-17024/2017
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
567250
The nature of a breach:
1. ответственность за неисполнение субъектами финансового мониторинга обязанностей по разработке, принятию и (или) исполнению правил внутреннего контроля и программ его осуществления либо несоответствие правил внутреннего контроля требованиям законодательства Республики Казахстан о противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма.
Date of performance:
06.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 2
- "Non-fulfillment of obligations by the subjects of financial monitoring on development, adoption and (or) execution of internal control rules and programs for its implementation, or non-compliance of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing terrorism shall
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Асқарпаз" LLP
Authorized organization
28.07.2017
173100803000019
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Unreliable financial reporting concerning foreign currency exchange transactions in cash Provision of unreliable reporting on exchange transactions with cash foreign currency
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:
Жамбылский филиал (Тараз)
Issuer
13.05.2019
№33-11-19/1834
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-placement of the list of affiliated persons as of 01.04.2009
Date of performance:
14.06.2019
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
"АКТИВ РОСТ" LLP
Authorized organization
01.08.2017
Limited enforcement action
Written prescription
The nature of a breach:
1. The paragraph 40 of the Rules of organization of exchange operations with foreign cash in the Republic of Kazakhstan, approved by Chairman of the Board of NBRK on July 16, 2014 No. 144 in terms of the selling of the US dollar exchange rate discrepancies established on the basis of the order about establishment of the courses with the course on operations reported in the registration book was violated.
Date of performance:
10.08.2017
Статья/пункты НПА, Статья КоАП:
1.
- Of 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 July 16, 2014 No. 144
Note:
Executed, 10.08.2017 №011 letter (Ref. №2745 from 10.08.2017)
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)
«DANA» LLP
Authorized organization
07.08.2017
58-07-29/2486СК
Limited enforcement action
Written warning
The nature of a breach:
1. Organization of exchange operations with foreign currency in cash №144. 2014.16.06 violation of rules
Статья/пункты НПА, Статья КоАП:
1.
- Of 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 July 16, 2014 No. 144
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)
