Measures being imposed

1. Through its exchange office of exchange operations with cash foreign currency in the equivalent of more than one million tenge at the exchange rate, no data on the identity document of the customer was recorded in the registers of the foreign currency bought and sold (by whom and when the document was issued), the name and patronymic of the client were reflected in the initials, while the full name was required to be indicated, the residence sign was incorrectly indicated

1. 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"

Responsibility for these violations the Administrative Code isn't provided.

1. Concerning observance of requirements of the foreign exchange legislation

Восточно-Казахстанский филиал (Усть-Каменогорск)

1. non-compliance with the qualification requirements for licensed activities

12.02.2018

1. Concerning observance of requirements of licensing

Карагандинский филиал (Караганда)

192400,00 тенге

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

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

1. Concerning observance of requirements of the foreign exchange legislation

Карагандинский филиал (Караганда)

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

1. Статья: 102 Пункт: пп.1 п.5 - Law of the Republic of Kazakhstan "On Securities Market"

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

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

1. Concerning regulation of financial sector

Центральный аппарат

420 875 тенге

1. article 11 point 2 of Law

02.04.2018

1. Статья: 214 Пункт: 2 - "Non-fulfillment of obligations by the subjects of financial monitoring on development, adoption and (or) execution of internal control rules and programs for its implementation, or non-compliance of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing terrorism shall

Paid voluntarily, payment receipt №960/212 from 27.03.2018 year

1.

Жамбылский филиал (Тараз)

1. Violations of subparagraph 7) of paragraph 36, part one of paragraph 40, part one of paragraph 43, paragraph 46 and part one of paragraph 51 of Regulation No. 144

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

1. Concerning observance of requirements of the foreign exchange legislation

Алматинский городской филиал (Алматы)

1. Violations of paragraph 46 and part one of paragraph 51 of Regulation No. 144.

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

1. Concerning observance of requirements of the foreign exchange legislation

Алматинский городской филиал (Алматы)

1. he paragraph 42 of the Rules of organization of exchange operations with foreign cash in the Republic of Kazakhstan, approved by Chairman of the Board of NBRK on July 16, 2014 No. 144

15.03.2018

1. Статья: 42 - 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"

Executed, 12.03.2018 №7 letter (Ref. №978 from 12.03.2018)

1. Concerning observance of requirements of the foreign exchange legislation

Павлодарский филиал (Павлодар)

20.03.2018

1. Статья: 35 Пункт: пп. 4), 6),7),8) - 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/
2. Статья: 36, 51 - 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/
3. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
4. Статья: 11 Пункт: 2 - The Law of the RK «On Counteraction of Legitimization (Laundering) of Incomes Received by Illegal Means, and Financing of Terrorism»

1. Rules of org-n of exchange operations with available foreign currency in RK №144//The Law of the RK «On Accounting and Financial Reporting»//The Law of RK«ON Counteraction of Legitimization of Incomes Received by Illegal Means, and Financing of Terrorism»

Жамбылский филиал (Тараз)