Authorized organization
13.12.2022
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
08.02.2023
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)
Authorized organization
22.12.2022
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
30.12.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: Пункт 32-2
-
2. Статья: Пункт 51 Пункт: 2 -
3. Статья: Пункт 49 -
4. Статья: Пункт 54 -
5. Статья: Пункт 12 -
6. - Submission of unreliable, as well as incomplete report, according to the Annex 11-1 form to the NBK Board decree on September 24, 2014 No. 178 "On approval of the list, forms, deadlines for reporting by organizations performing the certain types of banking operations and the Rules for their submission"
2. Статья: Пункт 51 Пункт: 2 -
3. Статья: Пункт 49 -
4. Статья: Пункт 54 -
5. Статья: Пункт 12 -
6. - Submission of unreliable, as well as incomplete report, according to the Annex 11-1 form to the NBK Board decree on September 24, 2014 No. 178 "On approval of the list, forms, deadlines for reporting by organizations performing the certain types of banking operations and the Rules for their submission"
Type of Enactments
1.
5.
6.
5.
6.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
Firma Azamat LTD
Authorized organization
01.12.2022
224700800000054
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
612600
The nature of a breach:
1. an administrative offense committed in the form of failure of financial monitoring entities to take measures to properly verify clients (their representatives) and beneficial owners .
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:
Мангистауский филиал (Актау)
Firma Azamat LTD
Authorized organization
05.12.2022
224700800000053
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
612600
The nature of a breach:
1. an administrative offense committed in the form of failure of financial monitoring entities to take measures to properly verify clients (their representatives) and beneficial owners .
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:
Мангистауский филиал (Актау)
Firma Azamat LTD
Authorized organization
05.12.2022
224700800000052
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
612600
The nature of a breach:
1. an administrative offense committed in the form of failure of financial monitoring entities to take measures to properly verify clients (their representatives) and beneficial owners .
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:
Мангистауский филиал (Актау)
Firma Azamat LTD
Authorized organization
01.12.2022
224700800000051
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
612600
The nature of a breach:
1. an administrative offense committed in the form of failure of financial monitoring entities to take measures to properly verify clients (their representatives) and beneficial owners .
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:
Мангистауский филиал (Актау)
Firma Azamat LTD
Authorized organization
05.12.2022
224700800000050
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
612600
The nature of a breach:
1. an administrative offense committed in the form of failure of financial monitoring entities to take measures to properly verify clients (their representatives) and beneficial owners .
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:
Мангистауский филиал (Актау)
Authorized organization
20.12.2022
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
29.01.2023
Статья/пункты НПА, Статья КоАП:
1.
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
Authorized organization
14.12.2022
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
23.12.2022
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)
Payment organization
15.12.2022
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
- Requirements of the Rules for submitting information about payment services approved by the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 213
Type of Enactments
1. Concerning the compliance with the law on payments and payment systems
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
