"Insurance Company "TransOil", JSC
Insurance organizations
22.06.2022
220000800000841, 220000800000844, 220000800000846, 220000800000847, 220000800000851
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
1. The failure to file the financial statements and other types of reporting on time
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
"Insurance Company "TransOil", JSC
Insurance organizations
22.06.2022
220000800000836, 220000800000837, 220000800000838, 220000800000843
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
477000
The nature of a breach:
1. The failure to file the financial statements and other types of reporting on time
Date of performance:
21.07.2022
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:
Центральный аппарат
Subsidiary Bank “Sberbank of Russia”, JSC (renamed from "TEXAKABANK” JSC)
Second tier banks
17.06.2022
220000800000924
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. an administrative offense was committed, which consisted in the submission by the currency control agent of an incomplete and (or) inaccurate report on notification of 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:
Центральный аппарат
Authorized organization
01.07.2022
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
14.07.2022
Статья/пункты НПА, Статья КоАП:
1.
-
2. -
2. -
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
"Рай-Нат" LLP
Authorized organization
22.06.2022
223100803000018
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Presentation of unreliable report on activities for organizing of exchange operations with cash foreign currency by an authorized organization, provided by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
«Алем Exchange» LLP
Authorized organization
01.07.2022
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 51
- 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:
Центральный филиал (Нур-Султан)
"Обменный пункт Оркен-Валюта" LLP
Authorized organization
27.06.2022
30-03-15/613
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
1. incorrect information was recorded when specifying the IIN and the legal address of the client
2. information about money transactions subject to financial monitoring is not provided and the FM-1 form is filled out incorrectly
2. information about money transactions subject to financial monitoring is not provided and the FM-1 form is filled out incorrectly
Date of performance:
05.07.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: 51
-
2. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 10 Пункт: 2 - AML / CFT Law
Type of Enactments
1. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
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:
Туркестанский филиал (Туркестан)
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:
Туркестанский филиал (Туркестан)
An organization engaged in microfinance activities
23.06.2022
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
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:
Туркестанский филиал (Туркестан)
