«West money» LTD
Authorized organization
28.11.2019
192300803000031
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses
2. Part 1 of Article 214 of the Code of Administrative Offenses
Статья/пункты НПА, Статья КоАП:
1.
Статья: 10
Пункт: 2
- AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
Note:
General Decision of December 9, 2019 according to the protocols №192300803000034, №192300803000031, №192300803000042. Fine 462 MCI.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
АО "Мангистауская распределительная электросетевая компания"
Issuer
06.12.2019
№40-4-17/1685
Limited enforcement action
Written warning
The nature of a breach:
1. Untimely placement of the bond issue prospectus within the bond program, taking into account amendments and (or) additions made to it
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
Issuer
09.12.2019
40-4-17/1699
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the order and timing of reporting
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
«West money» LTD
Authorized organization
28.11.2019
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
2333100,00 тенге
The nature of a breach:
1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses
2. Part 1 of Article 214 of the Code of Administrative Offenses
Статья/пункты НПА, Статья КоАП:
1.
Статья: 10
Пункт: 2
- AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
Note:
General Decision of December 9, 2019 according to the protocols №192300803000030, №192300803000032, №192300803000035, №192300803000038, №192300803000039, №192300803000044. Fine 924 MCI.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
"Medina and A" LLP
Authorized organization
29.11.2019
191500803000008
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:
Актюбинский филиал (Актобе)
State center for support of national cinema
Issuer
09.12.2019
40-4-17/1696
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.2 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
"ЮНГА" LLP
Authorized organization
05.12.2019
197500803000508
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
555500
The nature of a breach:
1. financial monitoring entities should take measures to properly check their customers (their representatives) and beneficial owners in accordance with the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of criminally obtained incomes and the financing of terrorism.
Date of performance:
14.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Note:
Resolution SIAC of Almaty from 12.19.2019. fine
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
АО "EXPLORATION PRODUCTION АЛМЭКС"
Issuer
09.12.2019
40-4-17/1697
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.2 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
"ЮНГА" LLP
Authorized organization
05.12.2019
№197500803000507
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
378750
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:
14.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 2
-
Note:
Resolution SIAC of Almaty from 12.19.2019. imposition of a fine
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Petrovskoye JSC
Issuer
10.12.2019
40-4-17/1702
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:
25.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 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
