LLP "Сирюс"
Authorized organization
05.12.2019
56-3-15/1353СК
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. Violation of currency legislation and legislation of the Republic of Kazakhstan about accounting
Статья/пункты НПА, Статья КоАП:
1.
Статья: 33, 34, 49
- Rules of organization of exchange operations with available foreign currency, ratified by the decision of Rule of National bank of republic of Kazakhstan from 04.04.2019 №49
2. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
3. - The Resolution of Board of NB of RK № 178 dated 24.09.2014
2. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
3. - The Resolution of Board of NB of RK № 178 dated 24.09.2014
Type of Enactments
1. Rules of org-n of exchange operations with available foreign currency in Republic of Kazakhstan №49 // The Law of the RK «On Accounting and Financial Reporting» // resolution Of the Board of the National Bank of Kazakhstan № 178 dated 24.09.2014
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
«DANA» LLP
Authorized organization
05.12.2019
3580-19-00-3/13958
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388 850,00
The nature of a breach:
1. Regarding the presentation of information on transactions subject to financial monitoring
Date of performance:
23.01.2020
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:
Карагандинский филиал (Караганда)
«DANA» LLP
Authorized organization
05.12.2019
3580-19-00-3/13959
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388 850,00
The nature of a breach:
1. Regarding the presentation of information on transactions subject to financial monitoring
Date of performance:
05.12.2019
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:
Карагандинский филиал (Караганда)
«DANA» LLP
Authorized organization
05.12.2019
3580-19-00-3/13957
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388 850,00
The nature of a breach:
1. Regarding the presentation of information on transactions subject to financial monitoring
Date of performance:
23.01.2020
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:
Карагандинский филиал (Караганда)
«DANA» LLP
Authorized organization
05.12.2019
3580-19-00-3/13951
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388 850,00
The nature of a breach:
1. Regarding the presentation of information on transactions subject to financial monitoring
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:
Карагандинский филиал (Караганда)
JSC "КАЗАХСКИЙ АГРОТЕХНИЧЕСКИЙ УНИВЕРСИТЕТ ИМ. С.СЕЙФУЛЛИНА"
Issuer
10.12.2019
№40-4-17/1703
Limited enforcement action
Written warning
The nature of a breach:
1. Untimely posting of information on decisions adopted by the sole shareholder of the Company
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 "Сирюс"
Authorized organization
05.12.2019
193100803000028
Sanctions and other administrative penalties
Fine imposed under administrative law
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 20.12.2019
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
JSC "КАЗАХСКИЙ АГРОТЕХНИЧЕСКИЙ УНИВЕРСИТЕТ ИМ. С.СЕЙФУЛЛИНА"
Issuer
12.12.2019
№40-4-17/1722
Limited enforcement action
Written warning
The nature of a breach:
1. Untimely placement of the decision of the sole shareholder
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
"Ақ-Саға" LLP
Authorized organization
05.12.2019
193100803000027
Sanctions and other administrative penalties
Fine imposed under administrative law
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 30.12.2019
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
"Ақ-Саға" LLP
Authorized organization
05.12.2019
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. Violation of currency legislation and legislation of the Republic of Kazakhstan about accounting
Статья/пункты НПА, Статья КоАП:
1.
Статья: 33, 34, 49
- Rules of organization of exchange operations with available foreign currency, ratified by the decision of Rule of National bank of republic of Kazakhstan from 04.04.2019 №49
2. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
3. - The Resolution of Board of NB of RK № 178 dated 24.09.2014
2. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
3. - The Resolution of Board of NB of RK № 178 dated 24.09.2014
Type of Enactments
1. Rules of org-n of exchange operations with available foreign currency in Republic of Kazakhstan №49 // The Law of the RK «On Accounting and Financial Reporting» // resolution Of the Board of the National Bank of Kazakhstan № 178 dated 24.09.2014
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
