"ГЕРМЕС обмен валют" LLP
Authorized organization
02.03.2018
1
Limited enforcement action
Written prescription
The nature of a breach:
1. he paragraph 42 of the Rules of organization of exchange operations with foreign cash in the Republic of Kazakhstan, approved by Chairman of the Board of NBRK on July 16, 2014 No. 144
Date of performance:
15.03.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 42
- Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"
Note:
Executed, 12.03.2018 №7 letter (Ref. №978 from 12.03.2018)
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
"Ақниет-Шу" LLP
Authorized organization
03.03.2018
56-3-44/503 СК
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.03.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 35
Пункт: пп. 4), 6),7),8)
- Rules of organization of exchange operations with available foreign currency in Republic of Kazahstan, ratified by the decision of Rule of National bank of republic of Kazakhstan from 16.07.2014 №144/
2. Статья: 36, 51 - Rules of organization of exchange operations with available foreign currency in Republic of Kazahstan, ratified by the decision of Rule of National bank of republic of Kazakhstan from 16.07.2014 №144/
3. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
4. Статья: 11 Пункт: 2 - The Law of the RK «On Counteraction of Legitimization (Laundering) of Incomes Received by Illegal Means, and Financing of Terrorism»
2. Статья: 36, 51 - Rules of organization of exchange operations with available foreign currency in Republic of Kazahstan, ratified by the decision of Rule of National bank of republic of Kazakhstan from 16.07.2014 №144/
3. Статья: 7 Пункт: 4 - The Law of the RK «On Accounting and Financial Reporting»
4. Статья: 11 Пункт: 2 - The Law of the RK «On Counteraction of Legitimization (Laundering) of Incomes Received by Illegal Means, and Financing of Terrorism»
Type of Enactments
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»
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
"Астана Exchange" LLP
Authorized organization
20.03.2018
52-10-36/1545
Limited enforcement action
Written prescription
The nature of a breach:
1. Inconsistency of internal control rules with the requirements of the legislation of the Republic of Kazakhstan on combating the legalization (laundering) of proceeds from crime and financing of terrorism
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Issuer
08.08.2019
40-4-17/568
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
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
Issuer
08.08.2019
40-4-17/566 от 08.08.2019
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
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
Issuer
08.08.2019
40-4-17/567
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
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
Issuer
08.08.2019
№40-4-17/565 от 08.08.2019г.
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the deadline for submission of information
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 2
- The Law of the Republic of Kazakhstan On securities market
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
JSC "ASIAN COMMODITY EXCHANGE"
Issuer
12.08.2019
40-4-17/590
Limited enforcement action
Written warning
The nature of a breach:
1. Paragraph 2 of Article 102 of the Law on the Securities Market
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
- 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
Kazakh atom electric station JCS
Issuer
14.08.2019
№40-4-17/623
Limited enforcement action
Written warning
The nature of a breach:
1. ill-timed placing of list of persons on the state on 01.07.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.3 п.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
"MEGA CENTER MANAGEMENT" JSC
Issuer
14.08.2019
40-4-17/616
Limited enforcement action
Written warning
The nature of a breach:
1. In connection with the violation of the established terms for the disclosure of information about its activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.1 п.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
