«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)
"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)
