Authorized organization
04.02.2020
207900803000002
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 5
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
"Астана Exchange" LLP
Authorized organization
03.12.2019
№197500803000504
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
555 500 тенге
The nature of a breach:
1. Narwşenïe swbektamï of Financial Monitoring zakonodatelstva the Republic of Kazakhstan o protïvodeystvïï legalïzacïï (otmıvanïyu) doxodov, polwçennıx prestwpnım way, and fïnansïrovanïyu terrorism parts dokwmentalnogo fïksïrovanïya, storage and predostavlenïya computer, rev operations, podlejaşçïx fïnansovomw monïtorïngw Their klïentax, nadlejaşçey Check customers (Their predstavïteley) and beneficial Provisions, Provisions and Refunds from Operations Provisioning, Submission of Financial Monitoring, Securities Documentation, Completed Processes its own deity
Date of performance:
28.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Law of the Republic of Kazakhstan dated 28.08.2009 “On Counteracting Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism”, Rules for the organization of exchange operations with foreign currency in cash in the Republic of Kazakhsta
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
06.01.2020
38-03-42/21
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of the deadline for submission of information
Date of performance:
24.01.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Law of the Republic of Kazakhstan dated 28.08.2009 “On Counteracting Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism”, Rules for the organization of exchange operations with foreign currency in cash in the Republic of Kazakhsta
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
Authorized organization
15.01.2020
207900803000001
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. Law of the Republic of Kazakhstan dated 28.08.2009 “On Counteracting Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism”, Rules for the organization of exchange operations with foreign currency in cash in the Republic of Kazakhsta
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
«Nachalo» LLP
Authorized organization
20.01.2020
31-06-30/60
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of PP.2) p. 11 of Rules No. 49
2. p. 49, p. 54 of Rules No. 49
3. non-Compliance with the requirements of paragraph 2 of Rules No. 47
2. p. 49, p. 54 of Rules No. 49
3. non-Compliance with the requirements of paragraph 2 of Rules No. 47
Date of performance:
20.02.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
- Regulation No. 49
2. Статья: 49, 54 - Regulation No. 49
3. Статья: 2 - Regulation No. 47
2. Статья: 49, 54 - Regulation No. 49
3. Статья: 2 - Regulation No. 47
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
ТОО "cash exghange"
Authorized organization
30.12.2019
64-07-22/3150
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. отсутствие у кассира опыта или справки о прохождении обучения, отсутствие в доступном для обозрения клиентами месте копий:лицензии, приложения, информации о кассире, отсутствие в Обменном пункте копии приказа о принятии кассира, документов на кассира, копии ПВК, документа с образцами подписей, копии рег.карточки на ККМ, копии договора с УБ., предоставление недоставерной отчетности, отсутствуют внутренние документы для автоматизации бух.учета.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 4
-
2. Статья: 39 Пункт: 1, 2, 9 -
3. Статья: 40 -
4. Статья: 1 Пункт: 11-1 -
5. Статья: 9 -
2. Статья: 39 Пункт: 1, 2, 9 -
3. Статья: 40 -
4. Статья: 1 Пункт: 11-1 -
5. Статья: 9 -
Type of Enactments
1. // Постановление Правления НБ РК № 178 от 24.09.2014 г.// Правила автоматизации ведения бухгалтерского учета № 47,Правила организации обменных операций с наличной иностранной валютой в Республике Казахстан № 49
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
"Microfinancial organization "Taraz" LLP
An organization engaged in microfinance activities
21.02.2020
203100803000003
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. untimely reporting
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Law of the Republic of Kazakhstan " on microfinance activities"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
Authorized organization
23.01.2020
31-06-30/79
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of p. 40, 49, 54 of Rules no. 49
2. non-compliance with p. 2 of Rules no. 47
2. non-compliance with p. 2 of Rules no. 47
Date of performance:
23.02.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 40, 49, 54
- Regulation No. 49
2. Статья: 2 - Regulation No. 47
2. Статья: 2 - Regulation No. 47
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
23.01.2020
31-06-30/74
Limited enforcement action
Written prescription
The nature of a breach:
1. Violations of PP.2) p. 11
2. p. 40 of Rules no. 49;
3. p. 6, 9 of Rules no. 47
4. p. 2 of article 10 of the AML/CFT Law
2. p. 40 of Rules no. 49;
3. p. 6, 9 of Rules no. 47
4. p. 2 of article 10 of the AML/CFT Law
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
-
2. Статья: 40 -
3. Статья: 6, 9 -
4. Статья: 10 Пункт: 2 -
2. Статья: 40 -
3. Статья: 6, 9 -
4. Статья: 10 Пункт: 2 -
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
07.02.2020
25-04-29/497
Limited enforcement action
Written prescription
The nature of a breach:
1. Violated: subparagraph 2) of paragraph 11, as well as paragraphs 42, 49, 54 of the Rules for organizing exchange operations with foreign currency in cash in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49.
Date of performance:
17.02.2020
Статья/пункты НПА, Статья КоАП:
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:
Алматинский городской филиал (Алматы)
