Measures being imposed

226900

1. For violation of the Republic of Kazakhstan legislation concerning accounting and financial reporting

20.07.2017

1. Статья: 239 Пункт: 3 - Administrative Violations Code of the Republic of Kazakhstan

1. On compliance with accounting and financial reporting standards

Карагандинский филиал (Караганда)

04.07.2017

1. Статья: 31 Пункт: 2 - 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: 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"
3. 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"
4. 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"
5. 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"

1. Concerning observance of requirements of the foreign exchange legislation

Алматинский городской филиал (Алматы)

1. .Violation of the procedure for reporting on issued registration certificates or certificates of notification or currency monitoring, on exchange operations with cash foreign currency, as well as information and documents confirming the occurrence of circumstances that affect the terms and conditions of repatriation of national and foreign currency 1. Representation of unreliable Reporting on issued registration certificates or certificates of notification or on currency monitoring, on exchange operations with cash foreign currency - entails a warning to individuals and legal entities.

1. Статья: 243 Пункт: 1 -

Unreliable financial reporting concerning foreign currency exchange transactions in cash Provision of unreliable reporting on exchange transactions with cash foreign currency.

1. Concerning observance of requirements of the foreign exchange legislation

Жамбылский филиал (Тараз)

1. несоответствие правил внутреннего контроля требованиям закона ПОД/ФТ

17.07.2017

1. - Постановление Правления Национального Банка Республики Казахстан от 16 июля 2014 года № 144 Об утверждении Правил организации обменных операций с наличной иностранной валютой в Республике Казахстан

1.

Центральный филиал (Нур-Султан)

1. paragraph 31 of regulation No. 144

18.07.2018

Was not a contract with a private security organization for the protection of the premises by armed security post.

1. On requirenments for security and office space organization

Южно-Казахстанский филиал (Шымкент)

181520

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

02.09.2017

1. Статья: 464 Пункт: 1 - The Code of Administrative Offenses

Paid voluntarily check number 1708158809464 from 15.08.2017 year in the amount of 181520

1. On requirenments for security and office space organization

Южно-Казахстанский филиал (Шымкент)

1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities

17.05.2019

1. Concerning regulation of financial sector

Центральный аппарат

1. Non-fulfillment by the subjects of market of equities of duty on opening of information all right and on the terms determined by the legislation of РК

1. Статья: 102 Пункт: 2 - Law of the Republic of Kazakhstan "On Securities Market"

1. Concerning regulation of financial sector

Центральный аппарат

126250

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

04.07.2019

1. Статья: 262 - Of Administrative Violations Code of the Republic of Kazakhstan

The penalty is paid in 20.05.19

1. Concerning regulation of financial sector

Центральный аппарат

1. Due to violation of the order on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102, paragraph 4

1. Concerning regulation of financial sector

Центральный аппарат