"Лей-Дар" LPP
Authorized organization
30.04.2019
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
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 Kazakhstan No. 144
Статья/пункты НПА, Статья КоАП:
1.
- Violation of the requirements of the legislation on countering the legalization (laundering) of criminal proceeds and the financing of terrorism in exchange operations with foreign currency in cash
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:
Восточно-Казахстанский филиал (Усть-Каменогорск)
"ЮНГА" LLP
Authorized organization
30.05.2019
197500803000203
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
Date of performance:
08.07.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"ОБМЕННЫЙ ПУНКТ "МАДАМ" LLP
Authorized organization
12.06.2019
56
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388 850
The nature of a breach:
1. Failure of responsibilities for the implementation of internal control rules and programs of its realization by financial monitoring subject
Date of performance:
22.07.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
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:
Алматинский городской филиал (Алматы)
«West money» LTD
Authorized organization
17.06.2019
192300803000013
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
378750,00 тенге
The nature of a breach:
1. Impeding to civil servants of the bodies of state control and supervision in performing their official duties in accordance with their competence being expressed in a refusal to represent necessary documents and other details
Статья/пункты НПА, Статья КоАП:
1.
Статья: 462
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. LAW CONCERNING THE NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
"NNS" LLP
Authorized organization
28.06.2019
196300803000332
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
441875
The nature of a breach:
1. inconsistency of the internal control rules with the requirements of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds from crime and the financing of terrorism
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 2
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"NNS" LLP
Authorized organization
28.06.2019
196300803000333
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
441875
The nature of a breach:
1. Failure of responsibilities for the implementation of internal control rules and programs of its realization by financial monitoring subject
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 2
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
"ОБМЕННЫЙ ПУНКТ "МАДАМ" LLP
Authorized organization
28.06.2019
52-10-35/2754
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of rules
Date of performance:
04.07.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 46
-
2. Статья: 51, 53 Пункт: 1 -
3. Статья: 5 -
2. Статья: 51, 53 Пункт: 1 -
3. Статья: 5 -
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:
Алматинский городской филиал (Алматы)
АО "Научно-исследовательский и проектный институт нефти и газа"
Issuer
20.11.2019
Limited enforcement action
Written warning
The nature of a breach:
1. Information about excitation in the court of business on a corporate dispute is placed with violation of term
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
"КАЗСПЕЦПРЕДПРИЯТИЕ" JSC
Issuer
21.11.2019
№40-4-17/1599
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-placement of the list of affiliates
Date of performance:
21.12.2019
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
"NNS" LLP
Authorized organization
03.07.2019
дело № 3-2643-19 (Постановление суда от 17.05.2019г.)
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
5 302 500,00
The nature of a breach:
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 owners, suspension and refusal from conducting operations subject to financial monitoring, protection of documents received in the process its activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Note:
A court order in cases №196300803000249,196300803000254,196300803000259,196300803000268,196300803000275196300803000276,196300803000277,196300803000278,196300803000279,196300803000283,196300803000288,196300803000292,196300803000294,196300803000296,196300803000307,196300803000317,196300803000319,196300803000325,196300803000329.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
