"Tien-Shan Exchange" LLP
Authorized organization
13.10.2017
52-10-29/3/75/3079
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:
27.11.2017
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)
"Dinara-plus" LLP
Authorized organization
13.10.2017
60-05-12/1938СК
Limited enforcement action
Written prescription
The nature of a breach:
1. Not fulfilling the requirements of internal control.
Date of performance:
30.10.2017
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
"НАО "Haileybury Almaty" JSC
Issuer
19.07.2019
40-4-17/399
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
16.10.2017
3580-17-00-3/11538
Sanctions and other administrative penalties
License withdrawal
The nature of a breach:
1. non-compliance with the qualification requirements for licensed activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 2
- 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:
Карагандинский филиал (Караганда)
"ZIAT-XXI" LLP
Authorized organization
16.10.2017
173500803/000099
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
340350
The nature of a breach:
1. non-compliance with the qualification requirements for licensed activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 2
- 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:
Карагандинский филиал (Караганда)
"ZIAT-XXI" LLP
Authorized organization
16.10.2017
173500803/000099
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
340350
The nature of a breach:
1. non-compliance with the qualification requirements for licensed activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 2
- 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:
Карагандинский филиал (Караганда)
"Tien-Shan Exchange" LLP
Authorized organization
18.10.2017
52-10-29/3/75/3088
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
181520
The nature of a breach:
1. нарушение пп.1) п.5) Правил №250
Date of performance:
27.11.2017
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)
"Dinara-plus" LLP
Authorized organization
19.10.2017
174300803000006
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
266900
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: 4
- The Code of the Republic of Kazakhstan "On Administrative Infractions"
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
"Алтын-Аспан" LLP
Authorized organization
20.10.2017
173500803000102
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453 800,00
The nature of a breach:
1. failure to observe by the authorized organization set by National Bank of Republic of Kazakhstan limits of rejection of course of purchase from the course of sale of foreign currency after tenge on the operations conducted through exchange offices
Статья/пункты НПА, Статья КоАП:
1.
Статья: 252
Пункт: 3
-
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)
"Gold De Luxe XXI" LLP
Authorized organization
27.10.2017
52-10-36/5973 от 27.10.2017г.
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of the organization of exchange operations with cash foreign currency
Date of performance:
31.10.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 35
Пункт: 7
- 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: 35 Пункт: 8 - 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"
3. Статья: 36 Пункт: 6 - 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"
4. Статья: 36 Пункт: 7 - 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"
5. Статья: 40 Пункт: 1 - 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"
6. Статья: 46 - 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"
7. Статья: 51 Пункт: 1 - 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: 35 Пункт: 8 - 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"
3. Статья: 36 Пункт: 6 - 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"
4. Статья: 36 Пункт: 7 - 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"
5. Статья: 40 Пункт: 1 - 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"
6. Статья: 46 - 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"
7. Статья: 51 Пункт: 1 - 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"
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)
