Authorized organization
30.12.2021
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
25.01.2022
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
29.12.2021
25-04-29/4597
Limited enforcement action
Written prescription
The nature of a breach:
1. violations of the requirements of paragraphs 33-1, 49, 51, 54 of the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49, as well as violation of the requirements of subparagraph 1) of paragraph 3 of Article 5 of the Law of the Republic of Kazakhstan "On countering the legalization (laundering) of income, obtained by criminal means, and the financing of terrorism"
Date of performance:
06.01.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: 49
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
29.12.2021
25-04-29/4598
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of the requirements of paragraph 23 of the Rules for Conducting Exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by Resolution No. 49 of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019, as well as unreliable submission of reports provided for by Resolution No. 91 91 of the Board of the National Bank of the Republic of Kazakhstan dated July 20, 2020 "On Approval of the List, forms and Deadlines reporting on compliance with the requirements of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds from crime, and financing of terrorism by a legal entity operating exclusively through an exchange office on the basis of the license of the National Bank of the Republic of Kazakhstan for exchange operations with cash foreign currency, and the Rules for its presentation"
Date of performance:
06.01.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: 23
-
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Bank RBK" Bank" JSC (renamed from "Kazakhstan Innovational Сommercial Bank", JSC)
Second tier banks
10.12.2021
210000803000105
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Submission by the currency control agent of an incomplete and (or) unreliable report on notification of conducted 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
"Bank RBK" Bank" JSC (renamed from "Kazakhstan Innovational Сommercial Bank", JSC)
Second tier banks
10.12.2021
210000803000106
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of the procedure for the purchase and (or) sale of non-cash foreign currency on the domestic foreign exchange market of the Republic of Kazakhstan, established by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 252
Пункт: 1-1
-
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
27.12.2021
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
05.02.2022
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
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
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
«Nachalo» LLP
Authorized organization
27.12.2021
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
24.01.2022
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
"Microfinancial organization "ZoloTo" LLP
An organization engaged in microfinance activities
15.12.2021
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)
Authorized organization
23.12.2021
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
17.01.2022
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
An organization engaged in microfinance activities
21.12.2021
215100800000018
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
58340
The nature of a breach:
1. Violation of terms for presentation financial or other reporting by financial organizations, an organization guaranteeing the insurance payments, microfinance organizations, collection agencies, credit bureaus and payment organizations provided by the regulatory legal acts of the National Bank of the Republic of Kazakhstan, shall, committed repeatedly second time within a year after imposition of an administrative sanction, shall
Date of performance:
30.01.2022
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:
Туркестанский филиал (Туркестан)
