"ГЕРМЕС обмен валют" LLP
Authorized organization
10.12.2019
195500803000015
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388850
The nature of a breach:
1. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing of terrorism in terms of documenting, storing and providing information on transactions, subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, taking measures to freeze operations with money and (or) other property, refusal to establish business relations and conducting operations with money and (or) other property, suspension of operations subject to financial monitoring, protection of documents, obtained in the process of its activities
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:
Павлодарский филиал (Павлодар)
LPP «Sweet Money»
Authorized organization
11.12.2019
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. - paragraph 33 of Regulation No. 49, in part of regarding the failure to fulfill the requirements for the premises, equipment, personnel of the exchange office (with the exception of the automated exchange office) established by paragraph 11 of Regulation No. 49
Статья/пункты НПА, Статья КоАП:
1.
Статья: 33
- Regulation No. 49
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:
Восточно-Казахстанский филиал (Усть-Каменогорск)
"Болашақ и К" LLP
Authorized organization
11.12.2019
193500803/000063
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202 000,00
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:
violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity
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:
Карагандинский филиал (Караганда)
LLP "Султан и К"
Authorized organization
11.12.2019
193100803000029
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of a procedure for representing reporting on executed registration certificates or certificates on notification or on currency monitoring, on exchange operations with cash foreign currency, as well as information and documents confirming occurrence of the circumstances that have an impact on terms and conditions for repatriation of the national and foreign currency
Статья/пункты НПА, Статья КоАП:
1.
Статья: 243
Пункт: 1
-
Note:
Provision of unreliable reporting on exchange transactions with cash foreign currency.
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
Currency Exchange Capitalist LLP
Authorized organization
12.12.2019
195500803000026
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388850
The nature of a breach:
1. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing of terrorism in terms of documenting, storing and providing information on transactions, subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, taking measures to freeze operations with money and (or) other property, refusal to establish business relations and conducting operations with money and (or) other property, suspension of operations subject to financial monitoring, protection of documents, obtained in the process of its activities
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:
Павлодарский филиал (Павлодар)
Currency Exchange Capitalist LLP
Authorized organization
12.12.2019
195500803000025
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
1. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing of terrorism in terms of documenting, storing and providing information on transactions, subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, taking measures to freeze operations with money and (or) other property, refusal to establish business relations and conducting operations with money and (or) other property, suspension of operations subject to financial monitoring, protection of documents, obtained in the process of its activities
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:
Павлодарский филиал (Павлодар)
Currency Exchange Capitalist LLP
Authorized organization
12.12.2019
195500803000024
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388850
The nature of a breach:
1. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes, received by criminal means and financing of terrorism in terms of documenting, storing and providing information on transactions, subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficiary owners, taking measures to freeze operations with money and (or) other property, refusal to establish business relations and conducting operations with money and (or) other property, suspension of operations subject to financial monitoring, protection of documents, obtained in the process of its activities
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:
Павлодарский филиал (Павлодар)
"ЛИКА" LLP
Authorized organization
12.12.2019
191900803000055
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
274950
The nature of a breach:
1. For violation of the Republic of Kazakhstan legislation concerning accounting and financial reporting
Статья/пункты НПА, Статья КоАП:
1.
Статья: 239
Пункт: 4
- The Code of the Republic of Kazakhstan "On Administrative Infractions"
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
LPP «AiTim»
Authorized organization
13.12.2019
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. a reliable report was not provided for the 3rd quarter of 2019 under Appendix 11-1, approved by a resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 24, 2014 № 178
Статья/пункты НПА, Статья КоАП:
1.
Статья: 8
Пункт: 35
- The Law of the Republic of Kazakhstan «On the National Bank of the Republic of Kazakhstan»
2. Статья: 45-2 - The Law of the Republic of Kazakhstan «On banks and banking activities in the Republic of Kazakhstan»
2. Статья: 45-2 - The Law of the Republic of Kazakhstan «On banks and banking activities in the Republic of Kazakhstan»
Type of Enactments
1. Rules of org-n of exchange operations with available foreign currency in RK №49 // the Resolution of Board of NB of RK № 178 dated 24.09.2014
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
"Мын-булак" LPP
Authorized organization
13.12.2019
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. a reliable report was not provided for the 3rd quarter of 2019 under Appendix 11-1, approved by a resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 24, 2014 № 178
Статья/пункты НПА, Статья КоАП:
1.
Статья: 8
Пункт: 35
- The Law of the Republic of Kazakhstan «On the National Bank of the Republic of Kazakhstan»
2. Статья: 45-2 - The Law of the Republic of Kazakhstan «On banks and banking activities in the Republic of Kazakhstan»
2. Статья: 45-2 - The Law of the Republic of Kazakhstan «On banks and banking activities in the Republic of Kazakhstan»
Type of Enactments
1. Rules of org-n of exchange operations with available foreign currency in RK №49 // the Resolution of Board of NB of RK № 178 dated 24.09.2014
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
