Authorized organization
01.04.2024
36-03-24/119К
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
08.04.2024
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
3.
3.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
AB "KAZAKHSTAN-ZIRAAT INTERNATIONAL BANK" JSC
Second tier banks
13.03.2024
240000800000131
Sanctions and other administrative penalties
Warning
Punishment awarded:
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
Authorized organization
28.03.2024
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
28.04.2024
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
28.03.2024
247500800000296
Limited enforcement action
Written warning
The nature of a breach:
1. unreliable provision of a report on the movement of foreign currency and exchange transactions conducted through exchange offices (Appendix 13) for May 2023
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
28.03.2024
25-04-16/415
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of subparagraph 2) of paragraph 11 of Rules № 49, paragraphs 8 and 10 of Rules № 47, inconsistency of accounting policy with the requirements of the Law on Accounting, inconsistency of the working chart of accounts with the Standard Chart of Accounts № 79
Date of performance:
26.04.2024
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
- The Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49.
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
28.03.2024
25-04-16/414
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of paragraph 63 of Rules No. 49, inconsistency of accounting policy with the requirements of the Law of the Republic of Kazakhstan "On Accounting and Financial Reporting", inconsistency of the working chart of accounts with the Standard Chart of Accounts No. 79
Date of performance:
28.04.2024
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
27.03.2024
25-04-16/410
Limited enforcement action
Written prescription
The nature of a breach:
1. inconsistency of the working chart of accounts with the Standard Chart of accounts No. 79, the information system should be improved in terms of automating the formation of correct financial statements, unreliable provision of information on the structure of assets, liabilities and capital, income and expenses for the 4th quarter of 2022 and 2023
Date of performance:
24.04.2024
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:
Алматинский городской филиал (Алматы)
Authorized organization
27.03.2024
25-04-16/411
Limited enforcement action
Written prescription
The nature of a breach:
1. violations of paragraph 33-1 of Rules No. 49, paragraphs 6 and 9 of the Rules for Automation of Accounting, inconsistency of accounting policy with the requirements of the Law on Accounting, inconsistency of the working chart of accounts with the Standard Chart of Accounts No. 79, unreliable provision of information on the structure of assets, liabilities and capital, income and expenses for the 4th quarter of 2022
Date of performance:
26.04.2024
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Halyk Bank of Kazakhstan", JSC
Second tier banks
05.03.2024
240000800000100
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
55380
The nature of a breach:
1. Submission to currency control agents of an incomplete and (or) unreliable report on notification of conducted currency transactions provided for by a regulatory legal act of the National Bank of the Republic of Kazakhstan, committed repeatedly within a year after the imposition of an administrative penalty
Статья/пункты НПА, Статья КоАП:
1.
Статья: 217
Пункт: 4
-
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
Authorized organization
12.03.2024
241500800000003
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
295 360
The nature of a breach:
Date of performance:
13.03.2024
Статья/пункты НПА, Статья КоАП:
1.
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Актюбинский филиал (Актобе)
