Issuer
21.11.2019
№40-4-17/1598
Limited enforcement action
Written warning
The nature of a breach:
1. Untimely placement of the list of affiliated persons
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
АО "Каскор-Транссервис"
Issuer
22.11.2019
№40-4-17/1607
Limited enforcement action
Written warning
The nature of a breach:
1. Untimely placement of the list of affiliates as of 01.10.2019.
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
LLP "МИРТ-Ш"
Authorized organization
19.11.2019
197900803000018
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. 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:
Южно-Казахстанский филиал (Шымкент)
LLP "Фаэтон"
Authorized organization
27.11.2019
193100803000025
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202 000
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:
Paid 12.12.2019.
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
Petrovskoye JSC
Issuer
22.11.2019
40-4-17/1609
Limited enforcement action
Written prescription
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 Joint Stock Companies", article 41, paragraph 1
Date of performance:
23.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 41
Пункт: 1
- Of the Law «On joint stock companies»
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Галант-Тараз-Люкс" LLP
Authorized organization
27.11.2019
193100803000026
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
202 000
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:
Paid 24.12.2019
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
Petrovskoye JSC
Issuer
22.11.2019
40-4-17/1610
Limited enforcement action
Written prescription
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
Date of performance:
09.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 5
- 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
«West money» LTD
Authorized organization
28.11.2019
192300803000046
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses
2. Part 1 of Article 214 of the Code of Administrative Offenses
Статья/пункты НПА, Статья КоАП:
1.
Статья: 10
Пункт: 2
- AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
Note:
General Decision of December 9, 2019 according to the protocols №192300803000033, №192300803000036, №192300803000037, №192300803000040, №192300803000041, №192300803000046. Fine 924 MCI.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
«West money» LTD
Authorized organization
28.11.2019
192300803000045
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses
2. Part 1 of Article 214 of the Code of Administrative Offenses
Статья/пункты НПА, Статья КоАП:
1.
Статья: 10
Пункт: 2
- AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
Note:
General Decision of December 10, 2019 according to the protocols №192300803000043, №192300803000045. Fine 308 MCI.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
JSC "АИФРИ "Nomade Investments Group"
Issuer
26.11.2019
40-4-17/1625
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
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
