Authorized organization
22.06.2022
4714-22-00-3/2150
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
428820
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
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Мангистауский филиал (Актау)
Authorized organization
15.06.2022
4714-22-00-3/2151
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
428820
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
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Мангистауский филиал (Актау)
Authorized organization
14.06.2022
4714-22-00-3/2152
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
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Мангистауский филиал (Актау)
"Рай-Нат" LLP
Authorized organization
08.07.2022
39-03-21/379
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
1. Clause 63 of Rules № 49 was violated, as well as the unreliable submission of a report on Appendix № 3 to the NBRK Resolution No. 91 dated 07/20/2020.
Date of performance:
18.07.2022
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
«Private Asset Management», JSC
Investment portfolio managers combining activity with broker and (or) dealer
27.06.2022
220000800000855, 220000800000856, 220000800000857
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
An organization engaged in microfinance activities
22.06.2022
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:
Шымкентский филиал (Шымкент)
An organization engaged in microfinance activities
23.06.2022
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:
Шымкентский филиал (Шымкент)
An organization engaged in microfinance activities
24.06.2022
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:
Шымкентский филиал (Шымкент)
An organization engaged in microfinance activities
24.06.2022
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
19.08.2022
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:
Шымкентский филиал (Шымкент)
"Негоциант-Кордай" LLP
Authorized organization
01.07.2022
39-03-21/371
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
1. Sub-paragraphs 1), 2) of paragraph 11, subparagraph 9) of paragraph 39 and paragraphs 33, 34, 41, 49, 51, 63 Rules No. 49 have been violated, as well as unreliable submission of the report on аpplication No. 2 to the NBRK Resolution of the Board No. 91 dated 20.07.2020.
Date of performance:
11.07.2022
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
