Authorized organization
20.06.2023
237500800000514
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
276000
The nature of a breach:
1. violation of subparagraph 2 of paragraph 11 of Rules #49
Date of performance:
12.07.2023
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:
Алматинский городской филиал (Алматы)
Authorized organization
20.06.2023
237500800000513
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
483000
The nature of a breach:
1. failure of financial monitoring entities to take measures for proper verification of clients (their representatives) and beneficial owners
Date of performance:
08.08.2023
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
20.06.2023
237500800000512
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
483000
The nature of a breach:
1. failure of financial monitoring entities to take measures for proper verification of clients (their representatives) and beneficial owners
Date of performance:
08.08.2023
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
05.06.2023
236300800000052
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
276 000
The nature of a breach:
1. LLP "Төре-А" has not met the qualification requirements provided for in subparagraph 2) Paragraph 11 of Regulation No. 49, since the organization of video surveillance does not provide visibility of the cashier's work area.
2. LLP "Төре-А" committed administrative offenses, expressed in violation of the licensing standards established by the legislation of the Republic of Kazakhstan, including non-compliance with the qualification requirements for licensed activities.
2. LLP "Төре-А" committed administrative offenses, expressed in violation of the licensing standards established by the legislation of the Republic of Kazakhstan, including non-compliance with the qualification requirements for licensed activities.
Статья/пункты НПА, Статья КоАП:
1.
-
2. Статья: 464 Пункт: 1 -
2. Статья: 464 Пункт: 1 -
Note:
The fine has been paid, n/a No. 58 dated 19.06.2023
Type of Enactments
1.
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
An organization engaged in microfinance activities
15.06.2023
231500800000028
Sanctions and other administrative penalties
Warning
Punishment awarded:
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:
Актюбинский филиал (Актобе)
"Shinhan Bank Kazakhstan"
Second tier banks
08.06.2023
230000800000240
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. Submission by an authorized bank or a professional securities market participant performing currency transactions on behalf of clients of an incomplete and (or) unreliable report 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
"Shinhan Bank Kazakhstan"
Second tier banks
08.06.2023
230000800000239
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. Violation of the procedure for the purchase and (or) sale of non-cash foreign currency on the domestic foreign exchange market of the Republic of Kazakhstan, established by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 252
Пункт: 1-1
-
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
"Shinhan Bank Kazakhstan"
Second tier banks
08.06.2023
230000800000238
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. Violation by an agent of currency control of the deadline for submission of a report on currency contracts for export or import stipulated by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 217
Пункт: 5
-
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
"Halyk Bank of Kazakhstan", JSC
Second tier banks
06.06.2023
230000800000236
Sanctions and other administrative penalties
Warning
Punishment awarded:
предупреждение
The nature of a breach:
1. Submission by an authorized bank or a professional securities market participant performing currency transactions on behalf of clients of an incomplete and (or) unreliable report 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
An organization engaged in microfinance activities
31.05.2023
Sanctions and other administrative penalties
Fine imposed under administrative law
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:
Костанайский филиал (Костанай)
