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
Bereke Bank JSC (SB of Lesha Bank LLC (Public))
Second tier banks
10.08.2023
230000800000276
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. Submission by the currency control agent of an incomplete and (or) unreliable report on currency contracts for export or import, provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan
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
Bereke Bank JSC (SB of Lesha Bank LLC (Public))
Second tier banks
10.08.2023
230000800000277
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. Submission by the currency control agent of an incomplete and (or) unreliable report on currency contracts for export or import, provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan
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
Bereke Bank JSC (SB of Lesha Bank LLC (Public))
Second tier banks
10.08.2023
230000800000274
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. Submission by the currency control agent of an incomplete and (or) unreliable report on currency contracts for export or import, provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan
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
Bereke Bank JSC (SB of Lesha Bank LLC (Public))
Second tier banks
10.08.2023
230000800000279
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 in 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
Bereke Bank JSC (SB of Lesha Bank LLC (Public))
Second tier banks
10.08.2023
230000800000275
Sanctions and other administrative penalties
Warning
Punishment awarded:
warning
The nature of a breach:
1. Submission by the currency control agent of an incomplete and (or) unreliable report on notification of conducted currency transactions provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan
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
An organization engaged in microfinance activities
10.08.2023
Sanctions and other administrative penalties
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:
Филиал в области Абай (город Семей)
An organization engaged in microfinance activities
10.08.2023
Sanctions and other administrative penalties
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:
Филиал в области Абай (город Семей)
