«TREND exchange» JSC
Authorized organization
09.09.2019
52-10-35/3767
Limited enforcement action
Written prescription
The nature of a breach:
1. rules of 144
Date of performance:
16.09.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 227
Пункт: 1
- The Code of Administrative Offenses
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
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»//The Law of RK«ON Counteraction of Legitimization of Incomes Received by Illegal Means, and Financing of Terrorism»
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Magnat" LLP
Authorized organization
04.10.2019
Номер взыскания № 3-967-19 (Постановление суда от 02.09.2019г.)
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
4 330 375 тенге
The nature of a breach:
1. Violation by the entities of financial monitoring of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of criminally obtained incomes and the financing of terrorism in terms of documenting information about customers who conducted transactions subject to financial monitoring, as well as failure to comply with internal control rules.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
2. 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
2. 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
Note:
Court ruling in matters №№ 196300803000362,196300803000363,196300803000364,196300803000365,196300803000366,196300803000367,196300803000368,196300803000369,196300803000370,196300803000371,196300803000372
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
LLP "Александр и К"
Authorized organization
13.11.2019
191900803000054
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202000
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. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
LLP "Султан и К"
Authorized organization
15.11.2019
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202 000
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
Note:
Paid 23.12.2019.
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
Issuer
21.11.2019
№40-4-17/1598
Limited enforcement action
Written warning
The nature of a breach:
1. Untimely placement of the list of affiliated persons
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 "Каскор-Транссервис"
Issuer
22.11.2019
№40-4-17/1607
Limited enforcement action
Written warning
The nature of a breach:
1. Untimely placement of the list of affiliates as of 01.10.2019.
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
LLP "МИРТ-Ш"
Authorized organization
19.11.2019
197900803000018
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Untimely representation of reporting on executed registration certificates or certificates on notification or on currency monitoring, on exchange operations with cash foreign currency
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 5
- The Code of Administrative Offenses
Type of Enactments
1. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
LLP "Фаэтон"
Authorized organization
27.11.2019
193100803000025
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202 000
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
Note:
Paid 12.12.2019.
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
Petrovskoye JSC
Issuer
22.11.2019
40-4-17/1609
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 Joint Stock Companies", article 41, paragraph 1
Date of performance:
23.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 41
Пункт: 1
- Of the Law «On joint stock companies»
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Галант-Тараз-Люкс" LLP
Authorized organization
27.11.2019
193100803000026
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202 000
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
Note:
Paid 24.12.2019
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
