"ЛИКА" LLP
Authorized organization
31.08.2017
53-07-18/339
Limited enforcement action
Written prescription
The nature of a breach:
1. Points 41, 53 Rules of organization of exchange operations with available foreign currency in Republic of Kazahstan, ratified by the decision of Rule of National bank of republic of Kazakhstan from 16.07.2014 №144
Date of performance:
22.09.2017
Статья/пункты НПА, Статья КоАП:
Note:
Done by letter №2548 2017/20/09
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
"SKY SERVICE" JSC
Issuer
24.06.2019
40-4-17/181
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:
20.07.2019
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
"ЛИКА" LLP
Authorized organization
31.08.2017
53-07-38/4/19/23
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
287989.99
The nature of a breach:
1. For violation of the Republic of Kazakhstan legislation concerning accounting and financial reporting
Статья/пункты НПА, Статья КоАП:
1.
Статья: 239
Пункт: 3
- Administrative Violations Code of the Republic of Kazakhstan
Note:
Paid voluntarily payment number 15 from 03.11.2017 year in the amount of 287 990
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
"Казахстанский центр модернизации и развития жилищно-коммунального хозяйства" JSC
Issuer
26.06.2019
40-4-17/211
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
"ЛИКА" LLP
Authorized organization
31.08.2017
53-07-38/4/19/22
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:
10.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Note:
Paid voluntarily payment number 9 from 29.09.2017 year in the amount of 181520
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
"Мир Капитала" LLC
Authorized organization
08.09.2017
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:
28.09.2017
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)
"Бахус" JSC
Issuer
28.06.2019
40-4-17/228
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.2
- Law of the Republic of Kazakhstan "On Securities Market"
2. Статья: 8 - Of the annex 2 of Rules №189
2. Статья: 8 - 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
Issuer
01.07.2019
40-4-17/242
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
"ZIAT-XXI" LLP
Authorized organization
15.09.2017
Limited enforcement action
Written warning
The nature of a breach:
1. violation of organizing exchange operations with cash foreign currency
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)
Petrovskoye JSC
Issuer
04.07.2019
40-4-17/275
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation the regulations set by the Law on the National Bank of the Republic of Kazakhstan, article 62-3, paragraph 3
Date of performance:
15.07.2019
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
