LLP "TANSHOLPAN"
Authorized organization
27.03.2018
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
192400
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:
06.05.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Note:
Under paragraph 2 of the Resolution of Board of National Bank of the Republic of Kazakhstan from 27 September 2017 №188 "About modification and additions in 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" authorized organizations in the period up to "05" March 2018 are required to bring their activities into compliance with the requirements of the new Regulations to ensure minimum size of the authorized capital.
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
АО "КазТрансГаз Аймақ"
Issuer
01.11.2019
40-4-17/1427
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
АКЦИОНЕРНОЕ ОБЩЕСТВО "ИНСТИТУТ "КАЗНИПИЭНЕРГОПРОМ"
Issuer
01.11.2019
190000803000457
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
120250
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: 262
Пункт: 6
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Paid 04.11.2019. №1295
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Munaiaspap JSC
Issuer
11.11.2019
40-4-17/1494
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the order 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: 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
"Keles" LLP
Authorized organization
28.03.2018
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
192400
The nature of a breach:
Date of performance:
07.05.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Note:
Under paragraph 2 of the Resolution of Board of National Bank of the Republic of Kazakhstan from 27 September 2017 №188 "About modification and additions in 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" authorized organizations in the period up to "05" March 2018 are required to bring their activities into compliance with the requirements of the new Regulations to ensure minimum size of the authorized capital.
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
АО "Казахстанский центр индустрии и экспорта "Qazlndustry" (прежнее наименование - АО ("Казахстанский институт развития индустрии")
Issuer
18.11.2019
40-4-17/1549
Limited enforcement action
Written warning
The nature of a breach:
1. Late submission of reports
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
LLP "ARC-tan"
Authorized organization
04.04.2018
65-30-42/1194
Limited enforcement action
Written prescription
The nature of a breach:
1. In violation of Rules No. 144, 35-36
Date of performance:
19.04.2018
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:
Южно-Казахстанский филиал (Шымкент)
LLP "Ulpya"
Authorized organization
06.04.2018
65-30-42/1204
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of paragraphs 35 and 36 of regulation No. 144
Date of performance:
17.04.2018
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:
Южно-Казахстанский филиал (Шымкент)
"ЮНА" LLP
Authorized organization
06.04.2018
183100803000002
Sanctions and other administrative penalties
Warning
The nature of a breach:
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.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 243
Пункт: 1
-
Note:
unreliable financial reporting concerning foreign currency exchange transactions in cash Provision of unreliable reporting on exchange transactions with cash foreign currency.
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)
Issuer
18.11.2019
№ 40-4-17/1558
Limited enforcement action
Written warning
The nature of a breach:
1. Late submission of reports
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
