«Триумф Финанс KZ» LLP
Authorized organization
05.06.2019
193500803/000012
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
Note:
The requirementssub subparagraphs 2) of paragraphs 31 of the organization of foreign exchange operations with cash foreign currency in the Republic of Kazakhstan are riolland.
Type of Enactments
1. Қазақстан Республикасында қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыру қағидалары №144
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
"EVROASIA GLOBAL INVESTMENT" JSC
Issuer
18.01.2019
33-11-19/252
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to submit amendments and additions to the prospectus
Date of performance:
22.02.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 9
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
"Rannila Kazakhstan" JSC
Issuer
30.01.2019
№190000803000063
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
303000
The nature of a breach:
1. Non-fulfillment, untimely fulfillment of obligations accepted and (or) imposed by applying restrictive enforcement measures
Date of performance:
03.04.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 227
Пункт: 3
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
31.01.2019
№ 33-11-19/462
Limited enforcement action
Written prescription
The nature of a breach:
1. For violation of the requirements of paragraph 2 of Art. 9 of the Law of the Republic of Kazakhstan "On the Securities Market"
Date of performance:
03.03.2019
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
АО "Международный аэропорт Актобе"
Issuer
31.01.2019
№33-10-02/470
Limited enforcement action
Written warning
The nature of a breach:
1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Alatau-kus" JSC
Issuer
31.01.2019
№33-10-02/471
Limited enforcement action
Written warning
The nature of a breach:
1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"СОЦИАЛЬНО-ПРЕДПРИНИМАТЕЛЬСКАЯ КОРПОРАЦИЯ "Тараз" JSC
Issuer
31.01.2019
33-10-02/461
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, paragraph 4
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 4
- 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
"Социально-предпринимательская корпорация "Актобе" JSC
Issuer
01.02.2019
33-11-19/494
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the order on disclosure in accordance with the Law
Date of performance:
06.03.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 2
- SМ Art
Type of Enactments
1. "About National Bank of the Republic of Kazakhstan" Law
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Bank RBK" Bank" JSC (renamed from "Kazakhstan Innovational Сommercial Bank", JSC)
Issuer
01.02.2019
№ 33-11-19/505
Limited enforcement action
Written prescription
The nature of a breach:
1. Оr violation of the requirements of paragraph 2 of Art. 9 of the Law of the Republic of Kazakhstan "On the Securities Market"
Date of performance:
21.02.2019
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Dinara-plus" LLP
Authorized organization
13.06.2019
194300803000013
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
441875 тенге
The nature of a breach:
1. The failure by financial monitoring entities of responsibilities for the development, adoption and (or) fulfillment of internal control rules and programmes of its implementation or the mismatch of the internal control requirements of the legislation of the Republic Kazakhstan about counteraction to legalization (laundering) of incomes obtained in a criminal way and financing of terrorism.
Date of performance:
29.07.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 2
- Failure of subjects of financial monitoring to develop, adopt and (or) execute internal control rules and programs of its implementation or non-compliance of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on combating legalization (laundering) of proceeds from crime and financing of terrorism.
Type of Enactments
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
