"AIRPORT PAVLODAR" JSC
Issuer
20.05.2019
33-10-02/1923
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", paragraph 102, subparagraphs 2
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
"Майкаинзолото" JSC
Issuer
20.05.2019
33-10-02/1925
Limited enforcement action
Written warning
The nature of a breach:
1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
20.05.2019
33-11-19/1921
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure by the subjects of the securities market to comply with the obligations of information disclosure in the manner and on the conditions determined by the legislation of the Republic of Kazakhstan
Date of performance:
21.06.2019
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
АО РГ "Казахстанская правда"
Issuer
21.05.2019
№33-10-02/1941
Limited enforcement action
Written warning
The nature of a breach:
1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Management Company of Special Economic Zone “Saryarka” JSC
Issuer
10.06.2019
40-4-17/76
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
JSC "Shubarkol komir"
Issuer
10.06.2019
40-4-17/77
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.8 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
LIMITED LIABILITY PARTNERSHIP "TRADE HOUSE AMANAT"
Issuer
10.06.2019
40-4-17/78
Limited enforcement action
Written prescription
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
Date of performance:
25.06.2019
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
«ОНИКА-ТЕКО» LLP
Authorized organization
14.08.2017
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
499180
The nature of a breach:
1. Administrative violation was due to the failure to comply with the legislation of the Republic of Kazakhstan on counteraction of legitimization (laundering) of incomes received by illegal means, and financing of terrorism by subjects of financial monitoring in a part of fixing and provision of information on transactions with property subjected to financial monitoring
Date of performance:
23.09.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Note:
Рayment order №70 from 31.08.2017
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
JSC «Baspana» Mortgage organization»
Issuer
10.06.2019
40-3-04/68
Limited enforcement action
Written warning
The nature of a breach:
1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities
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
LLP "Фаэтон"
Authorized organization
18.08.2017
56-3-45/1655
Limited enforcement action
Written prescription
The nature of a breach:
1. Violated the requirements of paragraphs 40,52 of the Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 144
Date of performance:
25.08.2017
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
