Measures being imposed

1. violation of rules

04.07.2019

1. Статья: 46 -
2. Статья: 51, 53 Пункт: 1 -
3. Статья: 5 -

1. Закон Республики Казахстан от 28.08.2009г. «О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма», Правила организации обменных операций с наличной иностранной валютой в Республике Казахстан №144

Алматинский городской филиал (Алматы)

1. Information about excitation in the court of business on a corporate dispute is placed with violation of term

1. Статья: 102 Пункт: пп.1 п.2 - Law of the Republic of Kazakhstan "On Securities Market"

1. Concerning regulation of financial sector

Центральный аппарат

1. Non-placement of the list of affiliates

21.12.2019

1. Статья: 102 Пункт: 2 - Law of the Republic of Kazakhstan "On Securities Market"

1. Concerning regulation of financial sector

Центральный аппарат

5 302 500,00

1. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of criminal proceeds and the financing of terrorism in terms of documenting, storing and providing information on operations subject to financial monitoring, their clients, due diligence of clients (their representatives) and owners, suspension and refusal from conducting operations subject to financial monitoring, protection of documents received in the process its activities

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

A court order in cases №196300803000249,196300803000254,196300803000259,196300803000268,196300803000275196300803000276,196300803000277,196300803000278,196300803000279,196300803000283,196300803000288,196300803000292,196300803000294,196300803000296,196300803000307,196300803000317,196300803000319,196300803000325,196300803000329.

1.

Восточно-Казахстанский филиал (Усть-Каменогорск)

1. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of criminal proceeds and the financing of terrorism in terms of documenting, storing and providing information on operations subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficial ones owners, suspension and refusal from conducting operations subject to financial monitoring, protection of documents received in the process its activities

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Court decision on cases №№ 196300803000243,196300803000244,1963008030000245,196300803000246,196300803000248,196300803000250,196300803000251,196300803000252,196300803000255,196300803000256,1963008030000257,196300803000258,196300803000260,196300803000262,196300803000264,196300803000265,196300803000266,196300803000267,196300803000269,196300803000270,196300803000272, 196300803000273,196300803000274,196300803000280,196300803000281,196300803000282,196300803000284,196300803000285,196300803000289,196300803000290,196300803000295, 196300803000298,196300803000299,196300803000302,196300803000303,196300803000304,196300803000306,196300803000308,196300803000309,196300803000310,196300803000311,196300803000313,196300803000314,196300803000315,196300803000316,196300803000318,196300803000320,196300803000321,196300803000326,196300803000327,196300803000328,196300803000331,196300803000297,196300803000247,196300803000286,196300803000330,196300803000261,196300803000271,19630080300263,196300803000322,196300803000293,196300803000324,196300803000323,196300803000253,196300803000300,196300803000312,196300803000291,196300803000305,196300803000301,196300803000287

1.

Восточно-Казахстанский филиал (Усть-Каменогорск)

3333000

1. violation of financial monitoring

26.08.2019

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

1. Закон Республики Казахстан от 28.08.2009г. «О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма», Правила организации обменных операций с наличной иностранной валютой в Республике Казахстан №144

Алматинский городской филиал (Алматы)

4 383 400 тенге

1. Violation by the subjects of the financial monitoring of legislation of Republic of Kazakhstan about counteraction of legalization (to washing) of the acuestss got a criminal way, and to financing of terrorism in part of the documentary jigging, storage and grant of information about operations subject to the financial monitoring, their clients, proper verification of clients (their representatives) and beneficiary owners, stopping and abandonment from realization of operations subject to the financial monitoring, defence of the documents got in the process of the activity

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
2. Статья: 214 Пункт: 2 - The Code of Administrative Offenses

Court ruling in matters №№ 196300803000340,196300803000341,196300803000342,196300803000343,196300803000344,196300803000345,196300803000346,196300803000347,196300803000348,196300803000349,196300803000350

1.

Восточно-Казахстанский филиал (Усть-Каменогорск)

1. concerning observance of requirements of the foreign exchange legislation

31.07.2019

1. Статья: 46 -
2. Статья: 51, 53 Пункт: 1 -
3. Статья: 5 -

1. Закон Республики Казахстан от 28.08.2009г. «О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма», Правила организации обменных операций с наличной иностранной валютой в Республике Казахстан №144

Алматинский городской филиал (Алматы)

1. Paragraph 38 of Rules No 144- carrying out exchange transactions in exchange office at discrepancy of the equipment for exchange office to requirements of Paragraph 31 of Rules No 144 (technical failure) Paragraph 51 of Rules No. 144: - when carrying out in exchange offices of «Magnat» LLP of exchange transactions for the sum exceeding an equivalent of 500,000 (five hundred thousand) Kazakhstan tenge at the rate of carrying out exchange transaction - incorrect reflection of sign of residence in the magazine of registers of the bought and sold cash foreign currency (further – the magazine of registers); - absence in the online magazine of registers of the details and indicators established by appendix form 11 to Rules No 144; Paragraph 53 of Rules No 144 - not fixation in the magazine of registers when carrying out operations for the sum exceeding an equivalent of 500,000.0 Kazakhstani tenge at the rate of carrying out exchange transaction of period of validity of the identity document of the client and his legal address.

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

1. Concerning observance of requirements of the foreign exchange legislation

Восточно-Казахстанский филиал (Усть-Каменогорск)

555500

1. violation of the Law

12.10.2019

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

1. Закон Республики Казахстан от 28.08.2009г. «О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма», Правила организации обменных операций с наличной иностранной валютой в Республике Казахстан №144

Алматинский городской филиал (Алматы)