"ATFBank", JSC
Second tier banks
31.08.2021
210000803000072
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
1. Submission by the currency control agent of an incomplete and (or) inaccurate report on the notification of the 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
Authorized organization
10.09.2021
25-04-29/3318
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of paragraph 33-1 of the Rules for Carrying out 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
Date of performance:
20.09.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 33-1
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
An organization engaged in microfinance activities
03.09.2021
215100800000008
Sanctions and other administrative penalties
Warning
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
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)
Authorized organization
03.09.2021
217500803000450
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
408380
The nature of a breach:
1. failure of financial monitoring entities to take measures for proper verification of clients (their representatives) and beneficial owners, responsibility for which is provided for in part 4 of Article 214 of the Code of the Republic of Kazakhstan on Administrative Offenses
Date of performance:
20.10.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 4
- The Code of Administrative Offenses
Note:
Resolution No. 7528-20-00-3/22363 of the Specialized Interdistrict Court for Administrative Offenses of the City of Almaty dated 09/20/2021
the fine was paid by "Azia Exchange" LLP on 05.10.2021 in the amount of 408 380 tenge
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
03.09.2021
25-04-29/3216
Limited enforcement action
Written prescription
The nature of a breach:
1. violation of paragraph 2 of Article 10 of the Law of the Republic of Kazakhstan dated August 28, 2009 "On countering the legalization (laundering) of proceeds from crime and the financing of terrorism" has been established
Date of performance:
10.09.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 10
Пункт: 2
- AML / CFT Law
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Second tier banks
02.09.2021
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 7
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Second tier banks
02.09.2021
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 7
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
An organization engaged in microfinance activities
02.09.2021
215100800000007
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:
12.10.2021
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)
Collection agency
31.08.2021
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
1. the deadline for reporting period
Статья/пункты НПА, Статья КоАП:
1.
Статья: 15
Пункт: пп.11 п.1
- The Law on Collection Activities
2. Статья: 2 - GO NB RK №112 of 30.06.2017
2. Статья: 2 - GO NB RK №112 of 30.06.2017
Type of Enactments
1. Law On collection activities
2. On issues of reporting by collection agencies
2. On issues of reporting by collection agencies
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
25.08.2021
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Северо-Казахстанский филиал (Петропавловск)
