Authorized organization
16.11.2022
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
28.11.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
- Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
2. Статья: 49 - Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
2. Статья: 49 - Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Шымкентский филиал (Шымкент)
Authorized organization
31.10.2022
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
27.12.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
- Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Шымкентский филиал (Шымкент)
Collection agency
04.11.2022
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. the deadline for reporting period
Статья/пункты НПА, Статья КоАП:
1.
Статья: 15
Пункт: пп.11 п.1
- The Law on Collection Activities
2. Статья: 2 - GO NB RK №112 of 30.06.2017
2. Статья: 2 - GO NB RK №112 of 30.06.2017
Type of Enactments
1. Law On collection activities
2. On issues of reporting by collection agencies
2. On issues of reporting by collection agencies
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Collection agency
04.11.2022
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. the deadline for reporting period
Статья/пункты НПА, Статья КоАП:
1.
Статья: 15
Пункт: пп.11 п.1
- The Law on Collection Activities
2. Статья: 2 - GO NB RK №112 of 30.06.2017
2. Статья: 2 - GO NB RK №112 of 30.06.2017
Type of Enactments
1. Law On collection activities
2. On issues of reporting by collection agencies
2. On issues of reporting by collection agencies
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Collection agency
04.11.2022
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. the deadline for reporting period
Статья/пункты НПА, Статья КоАП:
1.
Статья: 15
Пункт: пп.11 п.1
- The Law on Collection Activities
2. Статья: 2 - GO NB RK №112 of 30.06.2017
2. Статья: 2 - GO NB RK №112 of 30.06.2017
Type of Enactments
1. Law On collection activities
2. On issues of reporting by collection agencies
2. On issues of reporting by collection agencies
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Collection agency
04.11.2022
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. the deadline for reporting period
Статья/пункты НПА, Статья КоАП:
1.
Статья: 15
Пункт: пп.11 п.1
- The Law on Collection Activities
2. Статья: 2 - GO NB RK №112 of 30.06.2017
2. Статья: 2 - GO NB RK №112 of 30.06.2017
Type of Enactments
1. Law On collection activities
2. On issues of reporting by collection agencies
2. On issues of reporting by collection agencies
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Collection agency
04.11.2022
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. the deadline for reporting period
Статья/пункты НПА, Статья КоАП:
1.
Статья: 15
Пункт: пп.11 п.1
- The Law on Collection Activities
2. Статья: 2 - GO NB RK №112 of 30.06.2017
2. Статья: 2 - GO NB RK №112 of 30.06.2017
Type of Enactments
1. Law On collection activities
2. On issues of reporting by collection agencies
2. On issues of reporting by collection agencies
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
JSC «Home Credit Bank» (renamed from «Home Credit and Finance Bank» Subsidiary Bank Joint Stock Company)
Second tier banks
11.11.2022
220000800001323
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. violation of the deadline for submitting a report on currency contracts, on the basis of and (or) pursuant to which capital movement transactions are carried out, responsibility for which is provided for in part 9 of Article 217 of the Administrative Code.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 217
Пункт: 9
-
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
"М-Тенге" LPP
Authorized organization
28.10.2022
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
23.12.2022
Статья/пункты НПА, Статья КоАП:
1.
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"
2. Статья: 214 Пункт: 4 - The Code of Administrative Offenses
2. Статья: 214 Пункт: 4 - The Code of Administrative Offenses
Type of Enactments
1.
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
"NGDEM Finance", JSC
Investment portfolio managers combining activity with broker and (or) dealer
31.10.2022
220000800001314, 220000800001315, 220000800001316, 220000800001317, 220000800001318, 220000800001319, 220000800001320
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
1. For late submission of financial and other statements
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:
Центральный аппарат
