JSC "Центр развития торговой политики"
Issuer
12.06.2019
40-4-17/95
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
«AZIYA VALUT» LLP
Authorized organization
22.08.2017
63-5-29/
Limited enforcement action
Written prescription
The nature of a breach:
1. subitems 4), 6) item 36, subitems 4, 6) item 35 of Rules of the organization of the exchange transactions with cash foreign currency in the Republic of Kazakhstan approved by the resolution of Board of National Bank of the Republic of Kazakhstan of July 16, 2014 No. 144
Date of performance:
31.08.2017
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
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Северо-Казахстанский филиал (Петропавловск)
Insurance Company "Jýsan Garant" JSC (renamed from - Subsidiary "Tsesnabank" JSC Insurance Company "Tsesna Garant" JSC)
Issuer
13.06.2019
190000803000268
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:
14.08.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 262
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
The penalty is paid in 25.06.19
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
North Caspian Petroleum JSC
Issuer
14.06.2019
40-4-17/121
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
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
"Ясир-Финанс"
Authorized organization
23.08.2017
б/н от 23.08.2017г.
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
3 811 920 тенге
The nature of a breach:
1. Conducting currency transactions in violation of the currency legislation of the Republic of Kazakhstan.4. Violation of the procedure established by the National Bank of the Republic of Kazakhstan for issuing an order to establish rates for the purchase and / or sale of cash foreign currency by issuing such an order between 6 pm on the day and 8.00 on the next day at the local time of the place where the order was issued and / or on non-working days of the joint-stock company "Kazakhstan Stock Exchange" - entails a fine for medium-sized businesses at a rate of two hundred, for subjects of large business - in the amount of five hundred monthly races etnyh indicators.
Date of performance:
30.11.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 252
Пункт: 4
- The Code of Administrative Offenses
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
LLP "ЭКВИВАЛЕНТ Л"
Authorized organization
23.08.2017
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:
13.09.2017
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)
Issuer
17.06.2019
40-4-17/135
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.2
- Law of the Republic of Kazakhstan "On Securities Market"
2. Статья: 22 - Of the annex 2 of Rules №189
2. Статья: 22 - Of the annex 2 of Rules №189
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
JSC "Национальный центр нейрохирургии"
Issuer
21.06.2019
40-4-17/172
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
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 "Султан и К"
Authorized organization
31.08.2017
173100803000020
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453800
The nature of a breach:
1. Submitting by banks, founders (shareholders) of the bank and (o)r its affiliated persons, and also the bank holdings and persons, corresponding to the signs of a major participant in a bank, a banking holding, organizations engaged in certain types of banking operations, unreliable, as well as incomplete reporting, information or other requested information
Date of performance:
10.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 213
Пункт: 2
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Note:
for submitting doubtful reporting of 2-th quarter of 2017
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
АКЦИОНЕРНОЕ ОБЩЕСТВО "ИНСТИТУТ "КАЗНИПИЭНЕРГОПРОМ"
Issuer
24.06.2019
40-4-17/180
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.3 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
