Measures being imposed

1. On submission financial and other reporting

Филиал в Алматинской области (город Қонаев)

1. On submission financial and other reporting

Филиал в Алматинской области (город Қонаев)

1. On submission financial and other reporting

Филиал в Алматинской области (город Қонаев)

1. On submission financial and other reporting

Филиал в Алматинской области (город Қонаев)

362250

1. In accordance with paragraph 6 of Article 15-3 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the financial market and financial organizations", inspection workers send written requests to the head of the audited entity, the head responsible for ensuring the audit, or another authorized employee of the audited entity, which are subject to execution within the specified time. The subject under review is obliged to submit all necessary information and documents, including copies thereof, on the day of receipt of the request from the inspection workers or within the time limits specified in the request, for inclusion in the inspection materials. To conduct an audit based on a risk assessment, a letter No. 25-04-16/1228 dated 04/19/2023 was sent to the director of RDK-exchange LLP on the provision of documents and information necessary for checking the issue of accounting and financial reporting in the implementation of the activities of an authorized organization, as well as the issue of the reliability of the presentation of information on the structure of assets, liabilities for the period under review and the capital, income and expenses of the authorized organization. The requested documents and information are not provided until the end of the audit by RDK-exchange LLP

26.07.2023

1.

Алматинский городской филиал (Алматы)

Warning

1. Violation of the deadline for submission of other reporting provided by the regulatory legal act of the National Bank of the Republic of Kazakhstan

1. Статья: 212 Пункт: 1 - Of the Code of the Republic of Kazakhstan "on administrative offences"

1. On submission financial and other reporting

Карагандинский филиал (Караганда)

Warning

1. Violation of the deadline for submission of other reporting provided by the regulatory legal act of the National Bank of the Republic of Kazakhstan

1. Статья: 212 Пункт: 1 - Of the Code of the Republic of Kazakhstan "on administrative offences"

1. On submission financial and other reporting

Карагандинский филиал (Караганда)

Warning

1. Violation of the deadline for submission of other reporting provided by the regulatory legal act of the National Bank of the Republic of Kazakhstan

1. Статья: 212 Пункт: 1 - Of the Code of the Republic of Kazakhstan "on administrative offences"

1. On submission financial and other reporting

Карагандинский филиал (Караганда)

Warning

1. Violation of the deadline for submission of other reporting provided by the regulatory legal act of the National Bank of the Republic of Kazakhstan

1. Статья: 212 Пункт: 1 - Of the Code of the Republic of Kazakhstan "on administrative offences"

1. On submission financial and other reporting

Карагандинский филиал (Караганда)

Warning

1. Violation of the deadline for submission of other reporting provided by the regulatory legal act of the National Bank of the Republic of Kazakhstan

1. Статья: 212 Пункт: 1 - Of the Code of the Republic of Kazakhstan "on administrative offences"

1. On submission financial and other reporting

Карагандинский филиал (Караганда)