«АЛЬФА-ОП» LLP
Authorized organization
11.12.2024
243100803000067
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
1. Presentation of unreliable reports on activities for organizing of exchange operations with cash foreign currency by an authorized organization, provided by the regulatory legal act of the National Bank of the Republic of Kazakhstan
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:
Жамбылский филиал (Тараз)
Authorized organization
26.12.2024
25-04-16/2580
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. for unreliable provision of a Report for the 2nd quarter of 2023
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
26.12.2024
25-04-16/2579
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. for unreliable provision of Reports for the 2nd quarter of 2022 and for the 2nd quarter of 2023
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
«Курс Алматы» LLP
Authorized organization
26.12.2024
25-04-16/2583
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. for unreliable reporting for 3.4 quarters of 2022 and for 1,2,3,4 quarters of 2023
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
09.12.2024
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
06.02.2025
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)
Authorized organization
26.12.2024
25-04-16/2581
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. for unreliable provision of a Report for the 4th quarter of 2023
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
23.12.2024
34-05-15/399
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
30.12.2024
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
- Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
2. Статья: 10 Пункт: 2 - AML / CFT Law
3. - Submission of unreliable, as well as incomplete report, according to the Annex 11-1 form to the NBK Board decree on September 24, 2014 No. 178 "On approval of the list, forms, deadlines for reporting by organizations performing the certain types of banking operations and the Rules for their submission"
2. Статья: 10 Пункт: 2 - AML / CFT Law
3. - Submission of unreliable, as well as incomplete report, according to the Annex 11-1 form to the NBK Board decree on September 24, 2014 No. 178 "On approval of the list, forms, deadlines for reporting by organizations performing the certain types of banking operations and the Rules for their submission"
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
2.
3.
2.
3.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Кызылординский филиал (Кызылорда)
Authorized organization
05.12.2024
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
23.12.2024
Статья/пункты НПА, Статья КоАП:
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)
«ФИНАНС-ТРАНЗИТ» LLP
Authorized organization
04.12.2024
243500800000072
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 7
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
Authorized organization
19.02.2025
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
31.01.2025
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
