"Астана Exchange" LLP
Authorized organization
20.03.2018
52-10-36/1545
Limited enforcement action
Written prescription
The nature of a breach:
1. Inconsistency of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds from crime and financing of terrorism
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Issuer
08.08.2019
40-4-17/568
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
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
Issuer
08.08.2019
40-4-17/566 от 08.08.2019
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
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
Issuer
08.08.2019
40-4-17/567
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
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
Issuer
08.08.2019
№40-4-17/565 от 08.08.2019г.
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 2
- The Law of the Republic of Kazakhstan On securities market
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
JSC "ASIAN COMMODITY EXCHANGE"
Issuer
12.08.2019
40-4-17/590
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
- 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
Kazakh atom electric station JCS
Issuer
14.08.2019
№40-4-17/623
Limited enforcement action
Written warning
The nature of a breach:
1. ill-timed placing of list of persons on the state on 01.07.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.3 п.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
"MEGA CENTER MANAGEMENT" JSC
Issuer
14.08.2019
40-4-17/616
Limited enforcement action
Written warning
The nature of a breach:
1. In connection with the violation of the established terms for the disclosure of information about its activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.1 п.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
Joint-stock compani Alfa Properties
Issuer
14.08.2019
40-4-17/612
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-provision of financial and other reports
Date of performance:
05.09.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
- Law of the Republic of Kazakhstan "On Securities Market"
Note:
Non-listing of affiliates
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
14.08.2019
40-4-17/610
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
