«West money» LTD
Authorized organization
27.09.2024
30-03-15/541
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
Punishment awarded:
Written order
The nature of a breach:
1. In violation of paragraph 51 of Rules No. 49, there are no expiration dates for customer identification documents in the register log
2. the transaction codes indicated in the reports for the period from the 1st half of 2023 to the 1st half of 2024 (Appendix 3) do not correspond to the transaction data from the registers, so when the customer purchases foreign currency in cash, 0221 is indicated instead of the 0211 code, as well as when the customer sells foreign currency in cash, 0211 is indicated instead of the 0221 code, according to the resolution Board of the National Bank of the Republic of Kazakhstan No. 91
2. the transaction codes indicated in the reports for the period from the 1st half of 2023 to the 1st half of 2024 (Appendix 3) do not correspond to the transaction data from the registers, so when the customer purchases foreign currency in cash, 0221 is indicated instead of the 0211 code, as well as when the customer sells foreign currency in cash, 0211 is indicated instead of the 0221 code, according to the resolution Board of the National Bank of the Republic of Kazakhstan No. 91
Date of performance:
04.10.2024
Статья/пункты НПА, Статья КоАП:
1.
Статья: 51
Пункт: 2
-
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
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
Authorized organization
25.09.2024
37-03-05/415
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
Punishment awarded:
written order
The nature of a breach:
1. Conducting exchange operations at a rate that does not comply with the established order. The fixation of the client's data is not from an identity document
Date of performance:
02.10.2024
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Северо-Казахстанский филиал (Петропавловск)
"Евро-Тараз" LLP
Authorized organization
17.09.2024
243100803000048
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
775320
The nature of a breach:
1. Presentation of unreliable report 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
Date of performance:
26.10.2024
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)
LLP "Сирюс"
Authorized organization
11.09.2024
243100803000044
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
110760
The nature of a breach:
1. Presentation of unreliable report 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
Date of performance:
25.10.2024
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)
"Айшер А" LLP
Authorized organization
26.09.2024
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 7
-
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:
Филиал в Алматинской области (город Қонаев)
Authorized organization
25.09.2024
247500800001081
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. unreliable reporting Appendix 13 for January, February, March, April, May, June, August, September, October, November, December 2022, for January, February, March, April, May, June, August 2023.
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:
Алматинский городской филиал (Алматы)
An organization engaged in microfinance activities
24.09.2024
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Туркестанский филиал (Туркестан)
Payment organization
23.09.2024
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Payment organization
23.09.2024
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Authorized organization
24.09.2024
247500800001076
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. unreliable submission of the report Appendix 13 for March 2022
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:
Алматинский городской филиал (Алматы)
