Measures being imposed

1. concerning observance of requirements of the foreign exchange legislation

Decree "On Amending the Resolution Of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2014 No. 265 "On Amendments to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 24, 2009 No. 78" On Approval of the Rules for Setting the Limits of Deviation of the Purchase Rate from the Sale of Foreign Currency for KZT for Operations Conducted through exchange points "and setting limits for the deviation of the purchase price from the selling rate of US dollars and euros per tenge for transactions conducted through exchange points"

1. Concerning observance of requirements of the foreign exchange legislation

Карагандинский филиал (Караганда)

192400

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

22.09.2018

1. Статья: 464 Пункт: 1 - The Code of Administrative Offenses

1. Organization of exchange operations with cash foreign currency

Южно-Казахстанский филиал (Шымкент)

1. violation of organization of exchange operations with available foreign currency

04.09.2018

1. 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"
2. 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"

Was done by letter № 13 of 03.09.2018

1. Concerning observance of requirements of the foreign exchange legislation

Жамбылский филиал (Тараз)

420875

1. The discrepancy between the rules of internal control and the requirements of the Law of the Republic of Kazakhstan on Counteracting the legalization (laundering) of proceeds from crime and financing of terrorism

29.09.2018

1. Статья: 214 Пункт: 2 - "Non-fulfillment of obligations by the subjects of financial monitoring on development, adoption and (or) execution of internal control rules and programs for its implementation, or non-compliance of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing terrorism shall

The administrative case was examined by the Special Administrative Court of Atyrau

1.

Атырауский филиал (Атырау)

192400

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

01.10.2018

1. Статья: 464 Пункт: 1 - The Code of Administrative Offenses

1. Organization of exchange operations with cash foreign currency

Южно-Казахстанский филиал (Шымкент)

384800

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

06.09.2018

1. Статья: 464 Пункт: 1 -

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»//The Law of RK«ON Counteraction of Legitimization of Incomes Received by Illegal Means, and Financing of Terrorism»

Алматинский городской филиал (Алматы)

192400

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

08.10.2018

1. Статья: 464 Пункт: 1 - The Code of Administrative Offenses

1. Concerning observance of requirements of licensing

Костанайский филиал (Костанай)

1. Subparagraph 1 of paragraph 5 of the Resolution of Board of National Bank of the Republic of Kazakhstan from August 24, 2012 № 250 "Rules of the organization of protection and the device of Rules of the organization of protection and the device of rooms of the banks and the organizations performing separate types of banking operations".

14.09.2018

1. Статья: 31 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"

1. Concerning observance of requirements of the foreign exchange legislation

Костанайский филиал (Костанай)

601250

11.09.2018

1. Статья: 214 Пункт: 2 - "Non-fulfillment of obligations by the subjects of financial monitoring on development, adoption and (or) execution of internal control rules and programs for its implementation, or non-compliance of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing terrorism shall

1.

Алматинский городской филиал (Алматы)

192400

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

20.10.2018

1. Статья: 464 Пункт: 1 - The Code of Administrative Offenses

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»

Южно-Казахстанский филиал (Шымкент)