"Almas-Exchange" Limited Liability Company
Authorized organization
06.04.2018
52-10-29/3/75/3218 от 30.03.2018г.
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
192 400
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:
16.05.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Verny Capital", JSC
Issuer
18.11.2019
№ 40-4-17/1548
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
"Астана Exchange" LLP
Authorized organization
09.04.2018
52-10-30/3/75/3185
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
481000
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
Date of performance:
09.05.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"ШУБАРКОЛЬ ПРЕМИУМ" JSC
Issuer
18.11.2019
№40-4-17/1552
Limited enforcement action
Written warning
The nature of a breach:
1. Untimely placement of the resolution of the General meeting of shareholders
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
"ЮНА" LLP
Authorized organization
10.04.2018
56-3-44/804 СК
Limited enforcement action
Written prescription
The nature of a breach:
1. Point 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// Point 4 Article 7 of the Law of the RK «On Accounting and Financial Reporting»
Date of performance:
18.04.2018
Статья/пункты НПА, Статья КоАП:
Note:
Done with the letter №6 from 18.04.2018
Type of Enactments
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»
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
LLP "I-LIKA»
Authorized organization
26.11.2018
Sanctions and other administrative penalties
Қадағалап ден қоюдың ұсынымдық шаралары
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
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. On requirenments for security and office space organization
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
"BAUR Kazakhstan" JSC
Issuer
18.11.2019
40-4-17/1551
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:
29.11.2019
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
"НАУЧНО-ПРОИЗВОДСТВЕННОЕ ОБЪЕДИНЕНИЕ КАЗБИТЕХ" JSC
Issuer
18.11.2019
40-4-17/1550
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: 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 "Кызылординская распределительная электросетевая компания"
Issuer
19.11.2019
№190000803000944
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
126250
The nature of a breach:
1. Repeated (two or more times during six consecutive calendar months) failure to disclose information on its activities within the established time frame
Date of performance:
14.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 262
Пункт: 6
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
АО "Академия гражданской авиации"
Issuer
20.11.2019
№40-4-17/1584
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-placement of the list of affiliates
Date of performance:
20.12.2019
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
