Authorized organization
05.07.2023
25-04-16/1933
Limited enforcement action
Written prescription
The nature of a breach:
1. violations of the requirements of paragraphs 6, 8, 9 and 10 of the Rules of Accounting Automation approved by Resolution No. 47 of the Board of the National Bank of the Republic of Kazakhstan dated March 27, 2017 have been established
Date of performance:
31.07.2023
Статья/пункты НПА, Статья КоАП:
1.
- NBK OB # 47 03.27.2017.
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"ТЛЕУХАН" exchange office" LLP
Authorized organization
19.06.2023
235500800000050
Sanctions and other administrative penalties
Warning
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.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 7
-
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
"Dinara-plus" LLP
Authorized organization
01.07.2023
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
10.07.2023
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:
Кызылординский филиал (Кызылорда)
Brocker-Dealers
15.06.2023
230000800000241
Sanctions and other administrative penalties
Warning
Punishment awarded:
Предупреждение
The nature of a breach:
1. Submission of an incomplete and (or) unreliable report by a professional securities market participant performing currency transactions on behalf of clients for the purposes of monitoring sources of supply and demand in the domestic foreign exchange market of the Republic of Kazakhstan, provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
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
23.06.2023
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
17.07.2023
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:
Центральный филиал (Нур-Султан)
Authorized organization
08.06.2023
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
07.08.2023
Статья/пункты НПА, Статья КоАП:
1.
Статья: Пункт 63
-
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:
Шымкентский филиал (Шымкент)
An organization engaged in microfinance activities
19.06.2023
231500800000029
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
69 000
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:
Актюбинский филиал (Актобе)
An organization engaged in microfinance activities
19.06.2023
231500800000030
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
69 000
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:
Актюбинский филиал (Актобе)
An organization engaged in microfinance activities
19.06.2023
231500800000031
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
69 000
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:
Актюбинский филиал (Актобе)
An organization engaged in microfinance activities
19.06.2023
231500800000032
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
69 000
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:
Актюбинский филиал (Актобе)
