АО РГ "Казахстанская правда"
Issuer
21.05.2019
№33-10-02/1941
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:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Management Company of Special Economic Zone “Saryarka” JSC
Issuer
10.06.2019
40-4-17/76
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.1 п.5
- 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
JSC "Shubarkol komir"
Issuer
10.06.2019
40-4-17/77
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.8 п.5
- 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
LIMITED LIABILITY PARTNERSHIP "TRADE HOUSE AMANAT"
Issuer
10.06.2019
40-4-17/78
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102
Date of performance:
25.06.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.1 п.5
- 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
«ОНИКА-ТЕКО» LLP
Authorized organization
14.08.2017
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
499180
The nature of a breach:
1. Administrative violation was due to the failure to comply with the legislation of the Republic of Kazakhstan on counteraction of legitimization (laundering) of incomes received by illegal means, and financing of terrorism by subjects of financial monitoring in a part of fixing and provision of information on transactions with property subjected to financial monitoring
Date of performance:
23.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Note:
Рayment order №70 from 31.08.2017
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
JSC «Baspana» Mortgage organization»
Issuer
10.06.2019
40-3-04/68
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.
Статья: 102
- 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
LLP "Фаэтон"
Authorized organization
18.08.2017
56-3-45/1655
Limited enforcement action
Written prescription
The nature of a breach:
1. Violated the requirements of paragraphs 40,52 of the Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 144
Date of performance:
25.08.2017
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:
Жамбылский филиал (Тараз)
"ANEVNA"LLP
Authorized organization
18.08.2017
175100803000128
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:
17.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
"ASTANAGAS KMG" JSC
Issuer
10.06.2019
40-3-04/69
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.
Статья: 102
- Law of the Republic of Kazakhstan "On Securities Market"
2. -
2. -
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
LLP "Султан и К"
Authorized organization
21.08.2017
56-3-44/1671 СК
Limited enforcement action
Written prescription
The nature of a breach:
1. Violated the requirements of paragraph 51 of the Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 144
Date of performance:
01.09.2017
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
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)
