Issuer
13.05.2019
№33-11-19/1834
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-placement of the list of affiliated persons as of 01.04.2009
Date of performance:
14.06.2019
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
"АКТИВ РОСТ" LLP
Authorized organization
01.08.2017
Limited enforcement action
Written prescription
The nature of a breach:
1. The paragraph 40 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 in terms of the selling of the US dollar exchange rate discrepancies established on the basis of the order about establishment of the courses with the course on operations reported in the registration book was violated.
Date of performance:
10.08.2017
Статья/пункты НПА, Статья КоАП:
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
Note:
Executed, 10.08.2017 №011 letter (Ref. №2745 from 10.08.2017)
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
«DANA» LLP
Authorized organization
07.08.2017
58-07-29/2486СК
Limited enforcement action
Written warning
The nature of a breach:
1. Organization of exchange operations with foreign currency in cash №144. 2014.16.06 violation of rules
Статья/пункты НПА, Статья КоАП:
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
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)
"Джама Эксчейндж" LLP
Authorized organization
09.08.2017
№52-10-36/6222 от 09.11.2017г.
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of the organization of exchange operations with cash foreign currency
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: 36 Пункт: 4 - 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: 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"
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: 43 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"
7. 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"
8. 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: 36 Пункт: 4 - 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: 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"
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: 43 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"
7. 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"
8. 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)
"SATTI ZHULDYZ" JSC
Issuer
16.05.2019
№33-11-19/1876
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-deployment of list of persons on the state on 01.04.2019
Date of performance:
15.06.2019
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
"Gold De Luxe XXI" LLP
Authorized organization
09.08.2017
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
363040
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:
18.09.2017
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)
«DANA» LLP
Authorized organization
10.08.2017
173500803/000035. №плат.поруч.43
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
1. For violation of the Republic of Kazakhstan legislation concerning accounting and financial reporting
Date of performance:
15.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 239
Пункт: 3
- Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
«Обменный пункт «Адилет» LLP
Authorized organization
11.08.2017
52-10-29/3/75/2950 52-10-29/3/75/2951 и 52-10-29/3/75/2952
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
544 560 тенге
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:
20.09.2017
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)
"СМУ Шымкентгазмонтаж" JSC
Issuer
17.05.2019
33-11-19/1896
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-deployment of list of persons on the state on 01.04.2019
Date of performance:
17.06.2019
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
«ОНИКА-ТЕКО» LLP
Authorized organization
14.08.2017
52-10-30/3/75/2947
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
499180
The nature of a breach:
1. 2. Неисполнение субъектами финансового мониторинга обязанностей по разработке, принятию и (или) исполнению правил внутреннего контроля и программ его осуществления либо несоответствие правил внутреннего контроля требованиям законодательства Республики Казахстан о противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма
Date of performance:
23.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
