"ZIAT-XXI" LLP
Authorized organization
15.09.2017
173500803/000100
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
45380-00
The nature of a breach:
1. The action provided for by the first part of Article 243, committed repeatedly within a year after the imposition of an administrative penalty
Статья/пункты НПА, Статья КоАП:
1.
Статья: 243
Пункт: 2
-
Note:
The submission of false statements on exchange transactions with cash foreign currency
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)
"MIGLIOR" LLP
Authorized organization
26.09.2017
53-05-36/123/2106
Limited enforcement action
Written prescription
The nature of a breach:
1. For violation of requirements in the field of automation of accounting
Date of performance:
15.10.2017
Статья/пункты НПА, Статья КоАП:
1.
- Requirement of rules № 47
Note:
Done by letter №2776 2017/10/13
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)
"Мойнакская ГЭС" JSC
Issuer
05.07.2019
40-4-17/289
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: 7 - Of the annex 2 of Rules №189
2. Статья: 7 - 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
"Birsuat VK" LLP
Authorized organization
27.09.2017
Limited enforcement action
Written warning
The nature of a breach:
1. Paragraph 37 of Rules No. 144 - personal items of the cashier (own money) of the exchange office were in the office of the operating desk of the exchange office.
2. Paragraph 53 - The Partnership does not systematically record exchange transactions with cash foreign currency in the equivalent of more than one million tenge at the exchange rate, data on the customer is not recorded in the register of the foreign currency bought and sold.
2. Paragraph 53 - The Partnership does not systematically record exchange transactions with cash foreign currency in the equivalent of more than one million tenge at the exchange rate, data on the customer is not recorded in the register of the foreign currency bought and sold.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 37
- Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
2. Статья: 53 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
2. Статья: 53 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
Note:
Authorized organization «Birsuat VK » LLP License on the organization of exchange transactions with cash foreign currensy of EKB NBRK № 6314033 from 2014/29/12. Annexs to the valid license № 6314033/6314001 from 2014/29/12, № 6314033/6314002 from 2014/29/12, № 6314033/6315001 from 2015/14/07.
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
“Social-entrepreneurial corporation“ Astana ”JSC
Issuer
05.07.2019
40-4-18/279
Limited enforcement action
Written warning
The nature of a breach:
1. Paragraph 2 of Article 102 of the Law on the Securities Market
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
"K&K" LLP
Authorized organization
03.10.2017
56-3-44/2012 СК
Limited enforcement action
Written prescription
The nature of a breach:
1. For violation of the legislation Repablic of Kazakhstan on accounting and financial reporting
Date of performance:
12.10.2017
Статья/пункты НПА, Статья КоАП:
Note:
is done by letter №17 12.10.2017
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
"National Company "Kazakhstan Engineering" JSC
Issuer
09.07.2019
40-4-17/293
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of term of presentation to the central depositary of order about translation of the purchased securities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 22
Пункт: 6
- 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
«Abat Exchange» LLP
Authorized organization
10.10.2017
б/н
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:
27.10.2017
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
Note:
voluntarily paid
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)
JSC «Финансово-инвестиционная корпорация «Алел»
Issuer
15.07.2019
40-4-17/350
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: 22
Пункт: 6
- 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
АКЦИОНЕРНОЕ ОБЩЕСТВО "АКЦИОНЕРНЫЙ ИНВЕСТИЦИОННЫЙ ФОНД РИСКОВОГО ИНВЕСТИРОВАНИЯ "ТАБЫС"
Issuer
19.07.2019
40-4-17/400
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
