Measures being imposed

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)

1. rules of 144

16.09.2019

1. Статья: 227 Пункт: 1 - The Code of Administrative Offenses
2. Статья: 214 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»//The Law of RK«ON Counteraction of Legitimization of Incomes Received by Illegal Means, and Financing of Terrorism»

Алматинский городской филиал (Алматы)

4 330 375 тенге

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.

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

Court ruling in matters №№ 196300803000362,196300803000363,196300803000364,196300803000365,196300803000366,196300803000367,196300803000368,196300803000369,196300803000370,196300803000371,196300803000372

1.

Восточно-Казахстанский филиал (Усть-Каменогорск)

202000

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

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

1. Concerning observance of requirements of licensing

Филиал в области Жетісу (город Талдыкорган)

202 000

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

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

Paid 23.12.2019.

1. Concerning observance of requirements of licensing

Жамбылский филиал (Тараз)