Payment organization
25.08.2023
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 7, 13, 21
- Rules for submitting information about payment services approved by the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 213
Type of Enactments
1. Concerning the compliance with the law on payments and payment systems
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Authorized organization
28.08.2023
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
01.09.2023
Статья/пункты НПА, Статья КоАП:
2. Статья: 5 Пункт: пп.1 п.3 - The Law of the Republic of Kazakhstan "On Counteracting the Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism"
Type of Enactments
1.
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Шымкентский филиал (Шымкент)
«ForteBank», JSC
Second tier banks
16.08.2023
230000800000263
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 217
Пункт: 7
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Постоянное представительство Национального Банка Республики Казахстан в городе Алматы
An organization engaged in microfinance activities
18.08.2023
233300800000040
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
69 000,00 tenge
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 2
- 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:
Филиал в области Жетісу (город Талдыкорган)
"Алтын Жайык" LLP
Authorized organization
24.08.2023
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
28.08.2023
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- 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:
Западно-Казахстанский филиал (Уральск)
Legal entities whose exclusive business is to conduct foreign currency exchange transactions in cash
10.08.2023
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. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Абай (город Семей)
"Bank CenterCredit", JSC
Custodian
18.08.2023
230000800000282
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
1. For late submission of financial and other statements
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:
Центральный аппарат
Authorized organization
28.08.2023
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
12.09.2023
Статья/пункты НПА, Статья КоАП:
1.
Статья: П. 51
Пункт: 3
-
2. Статья: 5 Пункт: пп.1 п.3 - The Law of the Republic of Kazakhstan "On Counteracting the Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism"
3. Статья: 214 Пункт: 4 - The Code of Administrative Offenses
2. Статья: 5 Пункт: пп.1 п.3 - The Law of the Republic of Kazakhstan "On Counteracting the Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism"
3. Статья: 214 Пункт: 4 - The Code of Administrative Offenses
Type of Enactments
1.
2.
3.
2.
3.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
"Freedom Finance”, JSC
Brocker-Dealers
11.08.2023
230000800000280
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 217
Пункт: 3
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Постоянное представительство Национального Банка Республики Казахстан в городе Алматы
Bereke Bank JSC (SB of Lesha Bank LLC (Public))
Second tier banks
10.08.2023
230000800000278
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. Conducting prohibited currency transactions between residents of the Republic of Kazakhstan, making payments and (or) money transfers not through bank accounts in authorized banks, when such a requirement is established by the currency legislation of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 252
Пункт: 1
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Постоянное представительство Национального Банка Республики Казахстан в городе Алматы
